Rory Hart
Rory Hart is a registered investment advisor at LPL Financial LLC, based in Dove Canyon, CA, with 23 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
Dove Canyon, CA
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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
Rory is involved in several business activities, including insurance sales and financial advisory through Truwest Wealth Management and Sage Planning Solutions. He also owns Riley-Hart Capital Inc. for personal tax purposes.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret, Grant & CO., INC.Broker
Cadaret Grant & CO INC
Lincoln Financial Securities CorporationBroker
Lincoln Financial Securities Corporation
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
The Wealth Consulting Group
LPL Financial LLC
Level Four Advisory Services
LPL Financial LLCBroker
Financial Management Network INC
Fmn Capital CorporationBroker
Girard Securities, INC.Broker
United Capital Financial Advisers
Pence Wealth Management Corporation
LPL Financial LLC
LPL Financial LLCBroker
Centaurus Financial, INC.Broker
Directed Services LLCBroker
Linsco/private Ledger CORP.Broker
Hartford Equity Sales Company INC.Broker
Prudential Investment Management Services LLCBroker
Manulife Financial Securities LLCBroker
Sunamerica Securities, INC.Broker
Sunamerica Securities, INC.Broker
State Registrations1 state
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.