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CFP
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CFP

Gregory Klein

LPL Financial LLC
14 Years of Experience
Minneapolis, MN
Broker
View SEC Summary
View SEC Summary

Gregory Klein is a CFP-designated registered investment advisor at LPL Financial LLC, based in Minneapolis, MN, with 14 years of industry experience. Gregory 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
—
View Full SEC Brochure

Location

901 S. Marquette Avenue, Suite 2820, Minneapolis, MN, 55402

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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 Activities

Gregory operates his LPL business under the DBA Hays Investment Advisors. He also provides investment advisory services through Hays Financial Group, LLC, dedicating nearly full-time hours to this activity.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2023 - Present · 3 yrs
Hays Financial Group, LLC
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
LPL Financial LLC
August 2023 - August 2023 · 0 mos
Global Retirement Partners LLC
March 2021 - October 2021 · 7 mos
Planmember Securities CorporationBroker
October 2011 - October 2013 · 2 yrs
Askar CORP.Broker
June 2007 - October 2011 · 4 yrs 4 mos
Wells Fargo Investments, LLCBroker
June 2005 - June 2007 · 2 yrs
Ing America Equities, INC.Broker
May 2003 - November 2004 · 1 yr 6 mos
State Registrations1 state
MN
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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