William Swartz is a CFP-designated registered investment advisor at LPL Financial LLC, based in Towson, MD, with 30 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
1104 Kenilworth Drive, Suite 500, Towson, MD, 21204
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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
William teaches Dave Ramsey courses, is an agent for non-variable insurance (life, health, disability, long-term care, fixed annuities), and a 50/50 partner in a real estate rental business. He also works full-time as an IAR for SFG Wealth Management LLC.
Employment History
Current Registrations
LPL Financial LLCBroker
Sfg Wealth Management
Previous Registrations
LPL Financial LLC
Transamerica Capital, INC.Broker
John Hancock Advisers, LLC
John Hancock Distributors LLCBroker
John Hancock Distributors LLC
Essex National Securities, INC.
Essex National Securities, INC.Broker
First Union Brokerage Services, INC.Broker
First Fidelity Brokers, INC.Broker
F.N. Wolf & CO., INC.Broker
State Registrations18 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.