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Joseph Swaro
29 Years of Experience
Dublin, OH
3 DisclosuresBroker
Joseph Swaro is a registered investment advisor at Wells Fargo Advisors, based in Dublin, OH, with 29 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B
Fee Structure
Minimum Investment:$250K
- Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.
One-Time Plan:Up to $25,000
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Location
6515 Longshore Loop, Ste 200, Dublin, OH, 43017
Get directionsHistory
Regulatory History (3)
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Customer Dispute
May 2009Settled
Customer Dispute
October 2004Settled
Customer Dispute
August 1999Settled
Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
December 2017 - Present · 8 yrs 5 mos
Wells Fargo Advisors
December 2017 - Present · 8 yrs 5 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - December 2017 · 8 yrs 6 mos
Morgan Stanley
June 2009 - December 2017 · 8 yrs 6 mos
Citigroup Global Markets INC.
September 2008 - June 2009 · 9 mos
Citigroup Global Markets INC.Broker
September 2008 - June 2009 · 9 mos
Natcity Investments, INC.
January 2000 - September 2008 · 8 yrs 8 mos
Natcity Insurance Services, INC.Broker
September 1999 - December 2001 · 2 yrs 3 mos
Liberty Securities CorporationBroker
August 1998 - September 1999 · 1 yr 1 mo
Independent Financial Securities, INC.Broker
January 1998 - August 1998 · 7 mos
Natcity Investments, INC.Broker
August 1997 - September 2008 · 11 yrs 1 mo
Metlife Securities INC.Broker
April 1996 - July 1997 · 1 yr 3 mos
Metropolitan Life Insurance CompanyBroker
April 1996 - July 1997 · 1 yr 3 mos
State Registrations34 states
AZCACOCTDEFLGAIDILINKYMAMDMEMIMNMOMSMTNCNHNVNYOHORPASCTNTXUTVAWAWIWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.