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Heather Swartzell

J.P. Morgan Securities LLC
14 Years of Experience
Indianapolis, IN
1 DisclosureBroker
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Heather Swartzell is a registered investment advisor at J.P. Morgan Securities LLC, based in Indianapolis, IN, with 14 years of industry experience. Heather is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1 E Ohio St, Floor 17, Indianapolis, IN, 46204

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
July 2009
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Heather is a board member and treasurer for Coburn Place, a transitional housing organization for survivors of intimate partner violence, dedicating minimal time. She also serves on their finance committee.

Employment History
Current Registrations
J.P. Morgan Securities LLC
January 2024 - Present · 2 yrs 9 mos
J.P. Morgan Securities LLCBroker
August 2014 - Present · 12 yrs 2 mos
Previous Registrations
J.P. Morgan Securities LLC
August 2014 - May 2018 · 3 yrs 9 mos
Charles Schwab & CO., INC.
September 2012 - August 2014 · 1 yr 11 mos
Charles Schwab & CO., INC.Broker
December 2011 - August 2014 · 2 yrs 8 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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