Carl Swanson
Carl Swanson is a registered investment advisor at LPL Financial LLC, based in Worthington, OH, 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
300 W. Wilson Bridge Road, Suite 300, Worthington, OH, 43085
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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
Carl has several outside business activities, including wellness programming, modeling, payroll/HR services, and woodworking. He also has ownership stakes in companies involved in insurance sales (life, health, dental, vision, STD, LTC, and fixed annuities), dedicating about half his time to these insurance-related activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Securities America, INC.Broker
Securities America Advisors, INC.
Invest Financial Corporation
Invest Financial CorporationBroker
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.