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Hormoz Aslani

LPL Financial LLC
26 Years of Experience
Fountain Valley, CA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Hormoz Aslani is a registered investment advisor at LPL Financial LLC, based in Fountain Valley, CA, with 26 years of industry experience. Hormoz 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

18629 Brookhurst St, Fountain Valley, CA, 92708-6748

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History

Regulatory History (2)
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.
Financial
December 2021
Final
Financial
June 2017
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Cuso Financial Services, L.P.
October 2022 - May 2025 · 2 yrs 7 mos
Cuso Financial Services, L.P.Broker
October 2022 - May 2025 · 2 yrs 7 mos
Citigroup Global Markets INC.Broker
April 2017 - October 2022 · 5 yrs 6 mos
Citigroup Global Markets INC.
April 2017 - October 2022 · 5 yrs 6 mos
Wells Fargo Clearing Services, LLC
April 2014 - April 2017 · 3 yrs
Wells Fargo Clearing Services, LLCBroker
April 2014 - April 2017 · 3 yrs
Fifth Third Securities, INC.
October 2009 - May 2014 · 4 yrs 7 mos
Fifth Third Securities, INC.Broker
September 2009 - May 2014 · 4 yrs 8 mos
U.S. Bancorp Investments, INC.
May 2003 - September 2009 · 6 yrs 4 mos
U.S. Bancorp Investments, INC.Broker
November 2002 - September 2009 · 6 yrs 10 mos
UBS Painewebber INC.
May 2001 - October 2002 · 1 yr 5 mos
UBS Painewebber INC.Broker
April 2001 - October 2002 · 1 yr 6 mos
Edward JonesBroker
February 2000 - March 2001 · 1 yr 1 mo
State Registrations29 states
AKAZCAFLHIIAIDILINMDMIMNMOMSNCNDNMNVNYOKORPASDTNTXVAWAWIWY
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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