Paul Swift
Paul Swift is a registered investment advisor at MML Investors Services, LLC, based in Dublin, OH, with 23 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 392,809 clients with $90B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
MML Investors Services manages investment menus for retirement plans and offers a managed account service for participants.
For the overall plan, MMLIS selects and monitors investment options. For participants using the managed account service, fees are charged quarterly, up to a maximum of 0.60% per year of the account value. MMLIS receives 0.10% of this fee, with the remainder going to Morningstar and the recordkeeper. The exact fees vary by recordkeeper and whether the service is a Qualified Default Investment Alternative.
Location
495 Metro Place South, Suite 160, Dublin, OH, 43017
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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
Paul is the President/CEO of The Upstream Group, where he engages in outside insurance sales (life and disability) and operates a DBA for insurance and investment services and sales, dedicating a few hours per week and full-time hours, respectively. He also volunteers as an advisor for the Association of Financial Educators, teaching financial literacy courses, which takes minimal time.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Hornor, Townsend & Kent, LLC
Hornor, Townsend & Kent, LLCBroker
G. A. Repple & Company
G. A. Repple & CompanyBroker
Regulus Advisors, LLCBroker
Regal Investment Advisors LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Nylife Securities INC.Broker
State Registrations3 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.