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Brian Bates

LPL Financial LLC
33 Years of Experience
Phoenix, AZ
6 DisclosuresBroker
View SEC Summary
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Brian Bates is a registered investment advisor at LPL Financial LLC, based in Phoenix, AZ, with 33 years of industry experience. Brian 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
—
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Location

Phoenix, AZ

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History

Regulatory History (6)
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.
Customer Dispute
February 2023
Settled
Customer Dispute
February 2020
Closed-No Action
Customer Dispute
May 2017
Closed-No Action
Judgment / Lien
November 2013
Employment Separation After Allegations
October 2013
Customer Dispute
December 2011
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
October 2021 - Present · 5 yrs
LPL Financial LLCBroker
October 2021 - Present · 5 yrs
Previous Registrations
PNC Investments
August 2021 - November 2021 · 3 mos
PNC InvestmentsBroker
August 2021 - November 2021 · 3 mos
PNC Managed Account Solutions, INC.
January 2014 - August 2021 · 7 yrs 7 mos
Bbva Securities INC.Broker
October 2013 - August 2021 · 7 yrs 10 mos
J.P. Morgan Securities LLCBroker
October 2012 - October 2013 · 1 yr
J.P. Morgan Securities LLC
October 2012 - October 2013 · 1 yr
Chase Investment Services CORP.
September 2011 - October 2012 · 1 yr 1 mo
Chase Investment Services CORP.Broker
August 2011 - October 2012 · 1 yr 2 mos
Foothill Securities, INC.Broker
August 2009 - June 2011 · 1 yr 10 mos
Cue Financial Group, INC.
September 2004 - June 2011 · 6 yrs 9 mos
Cue Financial Group, INC.Broker
September 2004 - August 2009 · 4 yrs 11 mos
Securities America Advisors, INC.
February 1999 - July 2004 · 5 yrs 5 mos
Securities America, INC.Broker
November 1998 - August 2004 · 5 yrs 9 mos
Sunamerica Securities, INC.Broker
September 1996 - November 1998 · 2 yrs 2 mos
Waddell & Reed, INC.Broker
May 1993 - September 1996 · 3 yrs 4 mos
State Registrations17 states
ARAZCAGAIDINMDNCNMNVNYOKORPATXUTWI
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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