Adam Swanda
Adam Swanda is a registered investment advisor at LPL Financial LLC, based in New Richmond, WI, with 28 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
248 S Knowles Ave, New Richmond, WI, 54017
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2011Other Business Activities
Adam operates St. Croix Financial Services as a DBA for his LPL business, dedicating full-time hours to it. He also owns rental real estate, but it requires minimal time commitment.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
Sentra Securities CORP
Sentra Securities CorporationBroker
Moloney Securities CO., INC.Broker
Transamerica Financial Resources, INC.Broker
State Registrations14 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.