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Shawn Swanson

Integrity Alliance, LLC
31 Years of Experience
Columbus, OH
1 DisclosureBroker
View SEC Summary
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Shawn Swanson is a registered investment advisor at Integrity Alliance, LLC, based in Columbus, OH, with 31 years of industry experience. Shawn is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 8 more. Their firm serves 10,885 clients with $5.4B in assets under management.

Integrity Alliance, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
461 advisors
Number of Clients
10,885 clients
Average Client Portfolio
$497K average
Assets Under Management
$5.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $3.0M1.00%
$3M+0.50%

Schedule reflects base Select Program fees. Total fees can include additional advisor fees, platform fees, and third-party manager costs up to 2.80% annually. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Columbus, OH

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Shawn is the President/CEO of Swanson Financial Group, a financial services company, where he focuses on sales. This role takes up all of Shawn's time.

Employment History
Current Registrations
Integrity Alliance, LLC
January 2015 - Present · 11 yrs 9 mos
Integrity Alliance, LLC.Broker
January 2015 - Present · 11 yrs 9 mos
Previous Registrations
Sterne Agee Financial Services, INC.Broker
September 2014 - December 2014 · 3 mos
Sterne Agee Investment Advisor Services, INC.
February 2008 - December 2014 · 6 yrs 10 mos
Wrp Investments, INC.Broker
February 2005 - September 2014 · 9 yrs 7 mos
National Planning CorporationBroker
July 2002 - February 2005 · 2 yrs 7 mos
Locust Street Securities, INC.Broker
May 1998 - July 2002 · 4 yrs 2 mos
Securities America, INC.Broker
August 1997 - May 1998 · 9 mos
Nationwide Advisory Services, INC.Broker
January 1995 - June 1996 · 1 yr 5 mos
Pruco Securities CorporationBroker
March 1993 - March 1994 · 1 yr
State Registrations6 states
FLIAINKYNVOH
AdvisorBrokerBoth

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
No exam information available for this advisor.
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