AS
ChFC

Aleen Maree Swofford

41 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
238 advisors
Number of Clients
14,112 clients
Average Client Portfolio
$397K average
Assets Under Management
$5.6B

Fee Structure

Minimum Investment:$5K
Financial Plan Fee:$125 - $25,000
Hourly Rate:$35 - $300/hr

Financial planning fees are negotiated and can be charged as a one-time fixed fee ($125-$25,000), an hourly fee ($35-$300 per hour), or a fixed periodic fee ($50-$25,000 per period). For asset management services, fees range from 0.00% to 2.50% annually, negotiated between you and your representative. The minimum account fee is 0.50%. 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. Axiom accounts valued under $50,000 are subject to a quarterly small account fee of $20.

Areas of Practice
Retirement PlanningTax PlanningEstate PlanningEducation PlanningInvestment Management
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Advisor Information

Office location

306 Prosperity Road, Suite 101, Knoxville, TN, 37923

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Regulatory History (1)
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Customer Dispute
July 1997
Settled
Other 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
February 2015 - Present · 10 yrs 11 mos
Geneos Wealth Management, INC.
February 2015 - Present · 10 yrs 11 mos
Previous Registrations
Woodbury Financial Services, INC.Broker
July 2007 - February 2015 · 7 yrs 7 mos
Woodbury Financial Services, INC.
July 2007 - February 2015 · 7 yrs 7 mos
Oneamerica Securities, INC.
February 2004 - July 2007 · 3 yrs 5 mos
Oneamerica Securities, INC. Broker
April 2000 - July 2007 · 7 yrs 3 mos
American United Life Insurance CompanyBroker
April 2000 - December 2001 · 1 yr 8 mos
Pruco Securities Corporation Broker
July 1984 - April 2000 · 15 yrs 9 mos
The Prudential Insurance Company of AmericaBroker
July 1984 - December 1993 · 9 yrs 5 mos
State Registrations16 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Aleen Maree Swofford - Financial Advisor | AdvisorDiscover