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Nicola Hanna

LPL Financial LLC
21 Years of Experience
San Diego, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Nicola Hanna is a registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 21 years of industry experience. Nicola 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

3111 Camino Del Rio N Ste 920, San Diego, CA, 92108

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History

Regulatory History (1)
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
April 2006
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Nicola breeds and races horses, works as an associate/employee at Cavanaugh Group, and is president of Hanna Asset Management, dedicating minimal time to each. Nicola also sells fixed insurance, fixed annuities, immediate annuities, and whole life insurance, spending a few hours per week on these activities.

Employment History
Current Registrations
LPL Financial LLC
September 2025 - Present · 1 yr 1 mo
LPL Financial LLCBroker
September 2025 - Present · 1 yr 1 mo
Previous Registrations
Raymond James Financial Services Advisors, INC
January 2009 - October 2025 · 16 yrs 9 mos
Raymond James Financial Services
November 2008 - January 2009 · 2 mos
Raymond James Financial Services, INC.Broker
November 2008 - October 2025 · 16 yrs 11 mos
Wamu Investments, INC.Broker
November 2007 - November 2008 · 1 yr
Wamu Investments, INC.
October 2007 - November 2008 · 1 yr 1 mo
Morgan Stanley
September 2005 - June 2006 · 9 mos
Morgan Stanley Dw INC.Broker
September 2005 - June 2006 · 9 mos
First Montauk Securities CORP.
August 2002 - December 2003 · 1 yr 4 mos
First Montauk Securities CORP.Broker
January 2002 - December 2003 · 1 yr 11 mos
State Registrations36 states
ALARAZCACOFLIAIDILKSKYLAMAMDMEMIMNMOMSMTNCNJNMNVNYOHOKORRISCTNTXUTWAWIWV
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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