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Diane Brett

LPL Financial LLC
41 Years of Experience
East Hartford, CT
1 DisclosureBroker
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Diane Brett is a registered investment advisor at LPL Financial LLC, based in East Hartford, CT, with 41 years of industry experience. Diane is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

361 Main Street, East Hartford, CT, 06118

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History

Regulatory History (1)
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.
Employment Separation After Allegations
March 2001
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Diane operates under the DBAs American Eagle Financial Services and American Eagle Investment Services. She provides financial and investment advice to members and non-members of American Eagle Federal Credit Union and dedicates full-time hours to these activities.

Employment History
Current Registrations
LPL Financial LLC
October 2011 - Present · 15 yrs
LPL Financial LLC
October 2011 - Present · 15 yrs
LPL Financial LLCBroker
October 2011 - Present · 15 yrs
Previous Registrations
Uvest Financial Services Group, INC.Broker
January 2008 - October 2011 · 3 yrs 9 mos
Uvest Financial Services Group, INC.
January 2008 - October 2011 · 3 yrs 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
March 2006 - March 2007 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - March 2007 · 1 yr
Advest, INC.
May 2001 - March 2006 · 4 yrs 10 mos
Advest, INC.Broker
April 2001 - March 2006 · 4 yrs 11 mos
Compulife Investor Services, INC.Broker
January 1999 - April 2001 · 2 yrs 3 mos
Linsco/private Ledger CORP.Broker
April 1998 - February 1999 · 10 mos
Invest Financial CorporationBroker
May 1985 - April 1998 · 12 yrs 11 mos
E. F. Hutton & Company INCBroker
June 1984 - March 1985 · 9 mos
State Registrations6 states
AKCTDEFLMANY
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.
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