Joel Swaim is a registered investment advisor at LPL Financial LLC, based in Buford, GA, 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
2675 Mall of Georgia Blvd, Ste 601, Buford, GA, 30519
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Joel is involved with Community Wealth Management as a business entity for tax/investment purposes, dedicating nearly full-time hours. He also operates under White Oak Wealth Management and Oconee State Financial Services as DBAs for his LPL business, and owns S&R Property Holdings LLC for real estate rental.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Invest Financial Corporation
Invest Financial CorporationBroker
Investment Professionals, INC.
Investment Professionals, INC.Broker
Dempsey Financial Network, INC.Broker
Signator Investors, INC.Broker
State Registrations17 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.