Secretary, Chief Compliance Officer · Pathways Advisory Group, Inc.
Nicole L. Swanson
CRD 7523959 · Named on Form ADV at one SEC-registered adviser
At a glance
Pathways Advisory Group, Inc., an SEC-registered wealth manager based in Fresno, CA with $388 million in regulatory assets, lists Nicole L. Swanson on its Form ADV as Secretary, Chief Compliance Officer, a control person.
Firms and roles
- Pathways Advisory Group, Inc.Secretary, Chief Compliance OfficerWealth manager · Fresno, CA · $388M in regulatory assets
AtlasMembers
Nicole’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
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- Search and export owners by title, state and firm size
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Colleagues named on the same filings
- Dustin J. SmithVice-President, Pathways Advisory Group, Inc.
- Jeffrey S. KarstPresident, Pathways Advisory Group, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Nicole’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.