John Swift is a registered investment advisor at LPL Financial LLC, based in Newport Beach, CA, with 30 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
5000 Birch Street #3000, Newport Beach, CA, 92660
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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John is a co-trustee for the Swift Family Trust since 2006, dedicating minimal time. He also operates under the DBA Pence Financial Group for his LPL business and provides administrative support as Vice President of Sales to Pence Capital Management, an independent investment advisor firm, spending about 10-20% of his time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Pence Financial Group, LLC
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Neuberger Berman Bd LLC
Neuberger Berman Bd LLCBroker
Levco Securities, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations35 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.