Shawn Swenson is a CFP-designated registered investment advisor at LPL Financial LLC, based in Tempe, AZ, 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
1400 E Southern Ave, Ste 618, Tempe, AZ, 85282
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Shawn is the owner of Redpoint Wealth Management, a DBA for his LPL business. He also owns Shawn Swenson Financial Services LLC, a business entity for tax and investment purposes only, requiring minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
National Planning CorporationBroker
National Planning Corporation ("npc of America" in Fl & Ny)
Securities America Advisors, INC.
Securities America, INC.Broker
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Ing Financial Advisers, LLC
Ing Financial Advisers, LLCBroker
Ing Financial Advisers, LLCBroker
State Registrations10 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.