Brooks Hastings is a registered investment advisor at LPL Financial LLC, based in Latham, NY, with 29 years of industry experience. Brooks 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
3 Lear Jet Ln Stes 200N & 201N, Latham, NY, 12110
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2003Other Business Activities
Brooks operates Empire Financial Advisors as a DBA for his LPL business. This activity is investment-related and takes up all of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
A. G. Edwards & Sons, INC.Broker
Smith Barney INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations16 states
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
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