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Brian Heffernan

LPL Financial LLC
24 Years of Experience
Tewksbury, MA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Brian Heffernan is a registered investment advisor at LPL Financial LLC, based in Tewksbury, MA, with 24 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
28129 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
—
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Location

Tewksbury Federal Credit Union, 752 Main Street, Tewksbury, MA, 01876

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

Brian operates his LPL business through Northeast Planning Associates Inc. He also sells non-variable insurance products, including life, health, and LTC. Brian spends about 20% of his time providing financial planning and consulting services through Northeast Planning Associates, an independent investment advisor firm.

Employment History
Current Registrations
LPL Financial LLC
August 2007 - Present · 19 yrs 2 mos
LPL Financial LLC
July 2007 - Present · 19 yrs 3 mos
LPL Financial LLCBroker
July 2007 - Present · 19 yrs 3 mos
Northeast Planning Associates, INC.
July 2004 - Present · 22 yrs 3 mos
Previous Registrations
Mutual Service Corporation
December 2003 - September 2004 · 9 mos
Mutual Service CorporationBroker
November 2003 - December 2007 · 4 yrs 1 mo
Veravest Investment Advisors, INC.
October 2003 - November 2003 · 1 mo
Veravest Investments, INC.Broker
May 2002 - November 2003 · 1 yr 6 mos
State Registrations11 states
AZCAFLINMAMENHRISCTXVA
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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