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Lacey Hughes

LPL Financial LLC
27 Years of Experience
Birmingham, AL
1 DisclosureBroker
View SEC Summary
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Lacey Hughes is a registered investment advisor at LPL Financial LLC, based in Birmingham, AL, with 27 years of industry experience. Lacey 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

100 Euclid Ave, Birmingham, AL, 35213

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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
July 2003
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
August 2025 - Present · 1 yr 2 mos
LPL Financial LLC
August 2025 - Present · 1 yr 2 mos
Previous Registrations
First Horizon Advisors, INC
January 2025 - August 2025 · 7 mos
First Horizon Advisors, INC.Broker
December 2024 - August 2025 · 8 mos
Transamerica Capital, INC.Broker
February 2023 - July 2024 · 1 yr 5 mos
The Leaders Group, INC.Broker
June 2021 - February 2023 · 1 yr 8 mos
Frontier Solutions, LLCBroker
November 2018 - March 2020 · 1 yr 4 mos
Brighthouse Securities, LLCBroker
February 2017 - October 2018 · 1 yr 8 mos
Metlife Investors Distribution CompanyBroker
May 2015 - March 2017 · 1 yr 10 mos
Metlife Securities INC.Broker
April 2015 - May 2015 · 1 mo
Chickasaw Securities, LLCBroker
August 2014 - March 2015 · 7 mos
Patrick Capital Markets, LLCBroker
June 2012 - August 2014 · 2 yrs 2 mos
Sun Life Financial Distributors, INC.Broker
February 2009 - December 2011 · 2 yrs 10 mos
Sunamerica Capital Services, INC.Broker
April 2004 - February 2009 · 4 yrs 10 mos
A. G. Edwards & Sons, INC.Broker
June 2003 - April 2004 · 10 mos
A. G. Edwards & Sons, INC.
June 2003 - April 2004 · 10 mos
Planco Financial Services, INC.Broker
November 2002 - May 2003 · 6 mos
UBS Painewebber INC.
April 2001 - November 2002 · 1 yr 7 mos
UBS Painewebber INC.Broker
April 2001 - November 2002 · 1 yr 7 mos
Prudential Securities IncorporatedBroker
April 1997 - April 2001 · 4 yrs
R a F Financial CorporationBroker
December 1996 - March 1997 · 3 mos
State Registrations7 states
ALARAZCAGAIAOK
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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