Advisor at Swales Financial LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Swales Financial LLC
Location
Erie, CO
Credentials
CFA®, Series 63, Series 65
Industry experience
18 years
Christopher Swales is a CFA® charterholder and financial advisor with 18 years of industry experience. He is the sole advisor at Swales Financial LLC, an independent firm he founded in 2020. Prior to establishing his firm, Swales worked for Citigroup Global Markets Inc. for seven years and has held roles with State Farm VP Management Corp. and Paul Little Insurance Agency. Swales Financial LLC provides portfolio management and financial planning primarily to individual and high-net-worth clients. The firm follows a goals-driven investment process that combines fundamental analysis, Modern Portfolio Theory, and technical analysis, and is noted for its explicit use of options and derivatives in separately managed accounts.
Based on Swales Financial LLC
Negotiated fixed rate between $1,000 and $5,000 for financial planning
$0 - $500,000: 1.25% $500,000 - $1,000,000: 1.00% $1,000,000+: 0.75%
Erie, CO
Colorado
Swales Financial LLC
2020 - Present (6 years)
State Farm VP Management Corp.
2019 - Present (7 years)
Paul Little Insurance Agency
2018 - Present (8 years)
Citigroup Global Markets INC
2011 - 2018 (7 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
CFP®, Series 63, Series 65
Broomfield, CO
Wolff Financial Advisors, LLC
Series 63, Series 65
Boulder, CO
Fleet Capital Management, LLC
Series 65
Superior, CO
Kyso Financial
ChFC®, Series 63
Louisville, CO
Asset Solutions
ChFC®, Series 63
Erie, CO
Rocky Mountain Financial Solutions Inc.
CFP®, Series 65
Boulder, CO
Full Body Finance
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")