Alexander Hayes is a registered investment advisor at LPL Financial LLC, based in Campbell, CA, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1475 S Bascom Ave Ste 114, Campbell, CA, 95008
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Alexander is involved with AJ Wealth & Legacy, LLC as a business entity for tax/investment purposes. This activity takes nearly full-time hours per month, with a few hours per week during securities trading.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Invesco Distributors, INC.Broker
Oppenheimerfunds Distributor, INC.Broker
American Funds Distributors, INC.Broker
Putnam Investment Management, LLC
Putnam Investment Management, LLC
Putnam Retail Management Limited PartnershipBroker
Farmers Financial Solutions, LLCBroker
New York Life Investment Management LLC
Nylife Distributors LLCBroker
Seligman Advisors, INC.Broker
Nori, Hennion, Walsh, INC.Broker
State Registrations26 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.