Tammy Swann
Tammy Swann is a registered investment advisor at LPL Financial LLC, based in San Antonio, TX, with 20 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
San Antonio, TX
Get directionsHistory
Regulatory History (1)
Judgment / Lien
August 2019Other Business ActivitiesSells Insurance
Tammy is involved with Upstream Investment Partners, focusing on non-variable insurance and DBA for LPL business. She dedicates minimal time to non-variable insurance and nearly full-time hours to DBA for LPL business.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
Spc
Sigma Financial CorporationBroker
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Investment Professionals, INC.
Investment Professionals, INC.Broker
H&r Block Financial Advisors, INC.
H&r Block Financial Advisors, INC.Broker
State Registrations19 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.