Melinda Swartzbaugh
Melinda Swartzbaugh is a registered investment advisor at Osaic Institutions, INC., based in Newport Beach, CA, with 20 years of industry experience. Melinda is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B 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% |
Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.
Fee Estimator
Location
4301 MacArthur Blvd, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2012Other Business ActivitiesSells Insurance
Melinda is the President of The Benefits Advisor, a home-based insurance sales business, since 2006. This non-investment related activity takes a few hours per week. Melinda also has some affiliation with First Bank, but details are missing.
Employment History
Current Registrations
Osaic Institutions, INC.
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
First Brokerage America, L.L.C.
First Brokerage America, L.L.C.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
State Registrations11 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
More Advisors
- John Kostic, CFPTurner Financial Group, INC.
- Brian Mercado, CFPPrivate Advisor Group, LLC
- Brett Bonecutter, CFPHightower Advisors, LLC
- Yachen Sun, CFPWells Fargo Advisors
- Roy Jiang, CFAGreen Street
- Mark Mowrey, CFASignature Resources Capital Management, LLC