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Brian Hale

LPL Financial LLC
22 Years of Experience
Dana Point, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Brian Hale is a registered investment advisor at LPL Financial LLC, based in Dana Point, CA, with 22 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

24632 San Juan Ave Ste 200, Dana Point, CA, 92629

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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.
Financial
May 2017
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Brian sells non-variable insurance products, including life, long-term care, and health insurance, dedicating minimal time to this activity. He also operates Hale Lamb & Associates, LLC as a DBA for his LPL business, dedicating all of his time to this.

Employment History
Current Registrations
LPL Financial LLC
December 2023 - Present · 2 yrs 10 mos
LPL Financial LLCBroker
August 2017 - Present · 9 yrs 2 mos
Previous Registrations
Financial Advocates Investment Management
August 2017 - December 2023 · 6 yrs 4 mos
Waddell & Reed
January 2012 - August 2017 · 5 yrs 7 mos
Waddell & ReedBroker
January 2012 - August 2017 · 5 yrs 7 mos
Morgan Stanley Smith Barney LLC
June 2009 - February 2012 · 2 yrs 8 mos
Morgan Stanley Smith BarneyBroker
June 2009 - February 2012 · 2 yrs 8 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
June 2004 - April 2007 · 2 yrs 10 mos
Morgan Stanley Dw INC.Broker
March 2004 - April 2007 · 3 yrs 1 mo
State Registrations7 states
CACOIDNVORTNTX
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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