Gabriel Swan
Gabriel Swan is a registered investment advisor at LPL Financial LLC, based in Ventura, CA, with 14 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
56 East Main Street Suite 205, Ventura, CA, 93001
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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
Gabriel operates Swan Retirement Planning as a DBA for his LPL business, dedicating nearly full-time hours. He also sells non-variable insurance products and owns real estate rental property, dedicating a few hours per week to insurance. Gabriel also has an LLC to secure a trademark for Flying Axe Distillery.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Ameritas Investment CORP.Broker
Ameritas Investment CORP
World Group Securities, INC.Broker
State Registrations5 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.