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John Gray

LPL Financial LLC
27 Years of Experience
Birmingham, AL
4 DisclosuresBroker
View SEC Summary
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John Gray is a registered investment advisor at LPL Financial LLC, based in Birmingham, AL, with 27 years of industry experience. John 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

2153 Riverchase Office Rd, Birmingham, AL, 35244

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History

Regulatory History (4)
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
June 2012
Denied
Regulatory
November 2004
Final
Customer Dispute
January 2002
Pending
Regulatory
April 1998
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John has a business entity, Cedar Advisory, Inc., established in 2003 for tax/investment purposes, but it is not investment related. He also uses Driskell Gray, Inc. as a DBA for his LPL business.

Employment History
Current Registrations
LPL Financial LLCBroker
February 2023 - Present · 3 yrs 8 mos
LPL Financial LLC
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
Securities America, INC.Broker
July 2020 - February 2023 · 2 yrs 7 mos
Securities America Advisors, INC.
July 2020 - February 2023 · 2 yrs 7 mos
Investacorp Advisory Services INC
February 2013 - July 2020 · 7 yrs 5 mos
Investacorp, INC.Broker
February 2013 - July 2020 · 7 yrs 5 mos
Next Financial Group, INC.
March 2005 - February 2013 · 7 yrs 11 mos
Next Financial Group, INC.Broker
March 2005 - February 2013 · 7 yrs 11 mos
Cahaba Advisory, INC.
August 2004 - September 2005 · 1 yr 1 mo
Royal Alliance Associates, INC.Broker
February 2003 - April 2005 · 2 yrs 2 mos
Aura Financial Services, INC.Broker
February 1998 - April 2001 · 3 yrs 2 mos
Dean Witter Reynolds INC.Broker
August 1997 - February 1998 · 6 mos
Pruco Securities CorporationBroker
February 1997 - June 1997 · 4 mos
State Registrations17 states
ALCOFLGAINMIMNMSNCOHOKSCTNTXVAWAWI
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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