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Brian Casey

LPL Financial LLC
26 Years of Experience
Ocala, FL
4 DisclosuresBroker
View SEC Summary
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Brian Casey is a registered investment advisor at LPL Financial LLC, based in Ocala, FL, with 26 years of industry experience. Brian 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

3201 SW 34th Ave, Suite 105, Ocala, FL, 34474

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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.
Criminal
July 2009
Final Disposition
Customer Dispute
May 2009
Settled
Customer Dispute
March 2008
Closed-No Action
Customer Dispute
August 2004
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian owns Jen Homes LLC and spends minimal time on it. Brian also owns Casey B Enterprises, LLC, a business entity for tax/investment purposes related to his advisory income, dedicating all of his time to it.

Employment History
Current Registrations
LPL Financial LLC
January 2026 - Present · 9 mos
LPL Financial LLCBroker
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
LPL Financial LLC
June 2024 - December 2025 · 1 yr 6 mos
Ameriprise Financial Services, LLC
January 2015 - June 2024 · 9 yrs 5 mos
Ameriprise Financial Services, LLCBroker
January 2015 - June 2024 · 9 yrs 5 mos
Morgan Stanley
June 2009 - January 2015 · 5 yrs 7 mos
Morgan StanleyBroker
June 2009 - January 2015 · 5 yrs 7 mos
Morgan Stanley & CO. Incorporated
February 2009 - June 2009 · 4 mos
Morgan Stanley & CO. IncorporatedBroker
January 2009 - June 2009 · 5 mos
Wachovia Securities, LLC
January 2008 - January 2009 · 1 yr
Wachovia Securities, LLCBroker
January 2008 - January 2009 · 1 yr
A. G. Edwards & Sons, INC.
March 2000 - January 2008 · 7 yrs 10 mos
A. G. Edwards & Sons, INC.Broker
March 2000 - January 2008 · 7 yrs 10 mos
State Registrations22 states
AZCADCFLGAILINKSMAMDMIMNMOMSNCNJNMNYPATNVAWI
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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