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Brian Ferguson

LPL Financial LLC
30 Years of Experience
Johns Creek, GA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Brian Ferguson is a CFP-designated registered investment advisor at LPL Financial LLC, based in Johns Creek, GA, with 30 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
—
View Full SEC Brochure

Location

Johns Creek, GA

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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.
Customer Dispute
January 1999
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Brian operates his LPL business through ING Advisors, LLC, dedicating full-time hours to it. He also spends a few hours per week on Fortress Brokerage, selling non-variable insurance, and minimal time on Dogwood Solutions & Design LLC, a family business.

Employment History
Current Registrations
LPL Financial LLC
April 2021 - Present · 5 yrs 6 mos
LPL Financial LLCBroker
April 2021 - Present · 5 yrs 6 mos
Previous Registrations
Voya Financial Advisors, INC.
October 2015 - May 2021 · 5 yrs 7 mos
Voya Financial Advisors, INC.Broker
September 2015 - May 2021 · 5 yrs 8 mos
Voya Financial Advisors, INC.
March 2011 - September 2014 · 3 yrs 6 mos
Ing Financial Partners, INC.Broker
February 2011 - September 2014 · 3 yrs 7 mos
Ing America Equities, INC.Broker
February 2011 - September 2014 · 3 yrs 7 mos
Eagle Strategies LLC
August 2006 - September 2010 · 4 yrs 1 mo
Nylife Securities LLCBroker
June 1995 - September 2010 · 15 yrs 3 mos
The Equitable Life Assurance Society of the United StatesBroker
August 1994 - April 1995 · 8 mos
Equico Securities, INC.Broker
August 1994 - April 1995 · 8 mos
State Registrations7 states
FLGANCNJNYPAWA
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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