Tammy Swann
Tammy Swann is a registered investment advisor at LPL Financial LLC, based in San Antonio, TX, with 20 years of industry experience. Tammy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
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 LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Spc
Sigma Financial CorporationBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
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.
Exams
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