Paula Swain
Paula Swain is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 27 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
4707 Executive Dr, San Diego, CA, 92121-3091
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Paula is an agent/owner of Financial Center for Women LLC, through which she offers and services fixed insurance products, dedicating nearly full-time hours to this. She also offers and services fixed insurance products directly, spending a few hours per week, and provides financial education, spending a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Osaic Fa, INC.
Osaic Fa, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Veravest Investments, INC.Broker
Centennial Financial Services, INC.Broker
Ascend Financial Services, INC.Broker
State Registrations4 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.