Melinda Swartzbaugh
Melinda Swartzbaugh is a registered investment advisor at Osaic Institutions, INC., based in Newport Beach, CA, with 19 years of industry experience. Melinda operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
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.