Aleen Swofford
Aleen Swofford is a ChFC-designated registered investment advisor at Geneos Wealth Management, INC., based in Knoxville, TN, with 41 years of industry experience. Aleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning. Their firm serves 14,112 clients with $5.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Geneos offers investment management services where representatives continuously monitor your account and make trades when necessary. This is offered under the VIP program, where you pay transaction charges separately, and the VIP Ultra and Axiom wrap fee programs, where advisory and transaction services are bundled into one fee. The annual fee ranges from 0.00% to 2.50% of your portfolio, with a minimum fee of 0.50%. Fees and fee structures vary by representative. Advisory accounts direct with American Funds utilizing their F2 share class will have either a tiered fee of 0.50%, 0.60%, 0.80%, or 1.00% dependent upon account balance and is not negotiable or a fixed fee of 0.75% which is not negotiable.
Location
306 Prosperity Road, Suite 101, Knoxville, TN, 37923
Get directionsHistory
Regulatory History (1)
Customer Dispute
July 1997Other Business ActivitiesSells Insurance
Aleen will operate under Prosperity Partners Wealth Management LLC, a non-investment related business. She is also an independent representative with various insurance carriers for fixed insurance business and a chapter president for American Financial Education Alliance.
Employment History
Current Registrations
Geneos Wealth Management, INC.Broker
Geneos Wealth Management, INC.
Previous Registrations
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Oneamerica Securities, INC.
Oneamerica Securities, INC.Broker
American United Life Insurance CompanyBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations15 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.