Brian Schwartz
Brian Schwartz is a registered investment advisor at LPL Financial LLC, based in Woodland Hills, CA, with 24 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
5900 Canoga Ave Ste 220, Ste. 220, Woodland Hills, CA, 91367
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2013Other Business ActivitiesSells Insurance
Brian is an agent for accident & health, life, and variable insurance products. He also owns Brian Schwartz, Esq., a wills & trusts and estate planning law practice, dedicating about 10-20% of his time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Financial West Group
Financial West GroupBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations14 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.