Mark Swanson is a registered investment advisor at LPL Financial LLC, based in Kearney, NE, with 41 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
3615 2nd Ave, Suite B, Kearney, NE, 68847
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
August 1994Customer Dispute
August 1990Other Business Activities
Mark operates his LPL business through Black Oak Investment Counsel, Inc. This activity is investment-related and consumes his full-time effort.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Contryman Wealth Advisors
1st Global Capital CORP.Broker
A. G. Edwards & Sons, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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