Brock Hively is a CFP-designated registered investment advisor at LPL Financial LLC, based in York, PA, with 28 years of industry experience. Brock 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
220 St. Charles Way, Ste 100, York, PA, 17402
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2009Customer Dispute
June 2002Other Business Activities
Brock operates Sides Wealth Advisory Group as a DBA for his LPL business. This investment-related activity takes up nearly all of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
RBC Capital Markets, LLCBroker
RBC Capital Markets, LLC
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations38 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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