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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

ERIK ALAN SWENSON

Advisor at INDEPENDENT FINANCIAL PARTNERS

Waukesha, WI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 9, 1996 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT FINANCIAL PARTNERS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 18, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 18, 1980
First registration: Feb 9, 1996
Dual registered: yes, broker-dealer
IAPD individual key: 711905

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Dec 2, 2010	n/a	yes	Waukesha, WI	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 6, 2012	May 23, 2019	no	BRYAN, OH\|WAUKESHA, WI	Previous registration
NRP ADVISORS, INC.	n/a	Nov 10, 2009	Dec 1, 2010	no	DELAFIELD, WI\|BRYAN, OH	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Oct 18, 2004	Nov 11, 2009	no	DELAFIELD, WI\|MILWAUKEE, WI\|MILWAUKEE, WI	Previous registration
INNOVATIVE INVESTMENT ADVISORY, INC.	n/a	Feb 9, 1996	Oct 11, 2004	no	BROOKFIELD, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	n/a	May 23, 2019	n/a	n/a	Departure no registered destination	Departure
NRP ADVISORS, INC.	INDEPENDENT FINANCIAL PARTNERS	Dec 1, 2010	Dec 2, 2010	1	Bulk transfer	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	NRP ADVISORS, INC.	Nov 11, 2009	Nov 10, 2009	-1	Firm change	Other
INNOVATIVE INVESTMENT ADVISORY, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Oct 11, 2004	Oct 18, 2004	7	Firm change	Other

Relationships

Registered with (5)

→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: current employment
Dec 2, 2010 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 6, 2012 to May 23, 2019factForm ADV
→ NRP ADVISORS, INC.Registered adviserregistration: previous registration
Nov 10, 2009 to Dec 1, 2010factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Oct 18, 2004 to Nov 11, 2009factForm ADV
→ INNOVATIVE INVESTMENT ADVISORY, INC.Registered adviserregistration: previous registration
Feb 9, 1996 to Oct 11, 2004factForm ADV

Dated events

No dated event names this entity yet.