David Brown is a registered investment advisor at LPL Financial LLC, based in Houston, TX, with 36 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
3730 Kirby Dr Ste 1200, Houston, TX, 77098
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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 →Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Chase Investment Services CORP.Broker
Chase Investment Services CORP.
Banc One Securities Corporation
Banc One Securities CorporationBroker
Ifmg Securities, INC.
Ifmg Securities, INC.Broker
Capital Brokerage CorporationBroker
United Financial Markets, INC.Broker
Touchstone Securities, INC.Broker
Touchstone Securities, INC.Broker
Gna Securities, INC.Broker
Isfa CorporationBroker
State Registrations4 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.