SWAIN KATHLEEN KLEIN appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. SWAIN KATHLEEN KLEIN appears on 1 filing role across Form ADV (1).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | GUNNIP INVESTMENT AND FINANCIAL ADVISORS LLC | ASSISTANT COMPLIANCE OFFICER | WILMINGTON, DE |