Jeffrey Swearingen is a registered investment advisor at LPL Financial LLC, based in Roanoke, TX, with 21 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
311 S Oak St Ste 275, Roanoke, TX, 76262
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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.
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Jeffrey operates under the DBA Ascendus Financial Advisors for his LPL business since 2020 and Utica Financial LLC for tax/investment purposes since 2015. He also owns Delivering Liberty, a future business entity LLC, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cetera Advisors LLC
Cetera Advisors LLCBroker
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
LPL Financial Corporation
LPL Financial CorporationBroker
Edward Jones
Edward JonesBroker
State Registrations14 states
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