SS
SS
Steven Switlick
48 Years of Experience
Jefferson, MD
7 DisclosuresBroker
Steven Switlick is a registered investment advisor at Lombard Advisers Incorporated, based in Jefferson, MD, with 48 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Investment Management, Retirement Planning. Their firm serves 955 clients with $570M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
32 advisors
Number of Clients
955 clients
Average Client Portfolio
$594K average
Assets Under Management
$567.4M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.70% |
| $1.0M - $3.0M | 1.00% |
| $3.0M - $10.0M | 0.75% |
| $10M+ | 0.75% |
Fees are negotiable and may be lower based on various criteria.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
Jefferson, MD
Get directionsHistory
Regulatory History (7)
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.
Judgment / Lien
August 2014Judgment / Lien
August 2012Judgment / Lien
April 2011Judgment / Lien
December 2010Judgment / Lien
December 2010Judgment / Lien
November 2010Regulatory
January 1988Final
Employment History
Current Registrations
Lombard Advisers Incorporated
February 2000 - Present · 26 yrs 3 mos
Lombard Securities IncorporatedBroker
December 1999 - Present · 26 yrs 5 mos
Previous Registrations
Sunpoint Securities, INC.Broker
October 1998 - November 1999 · 1 yr 1 mo
Ferris, Baker Watts IncorporatedBroker
October 1988 - October 1998 · 10 yrs
Baker, Watts & CO., INC.Broker
May 1986 - October 1988 · 2 yrs 5 mos
Laidlaw Adams & Peck INC.Broker
April 1982 - June 1986 · 4 yrs 2 mos
Laidlaw, Martin & Moysey, INC.Broker
June 1977 - August 1982 · 5 yrs 2 mos
State Registrations10 states
CACODEMDNCPASCTXVAWV
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.