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CFP
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CFP

Brian Whatley

LPL Financial LLC
18 Years of Experience
Arvada, CO
Broker
View SEC Summary
View SEC Summary

Brian Whatley is a CFP-designated registered investment advisor at LPL Financial LLC, based in Arvada, CO, with 18 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
—
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Location

Arvada, CO

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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

Brian owns rental property in Fort Collins, CO since 2020. He dedicates minimal time to this activity.

Employment History
Current Registrations
LPL Financial LLC
April 2026 - Present · 6 mos
LPL Financial LLC
April 2026 - Present · 6 mos
LPL Financial LLCBroker
April 2026 - Present · 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
May 2018 - May 2026 · 8 yrs
Wells Fargo Advisors
April 2018 - May 2026 · 8 yrs 1 mo
Fisher Investments
August 2015 - March 2018 · 2 yrs 7 mos
Personal Capital Advisors Corporation
June 2014 - April 2015 · 10 mos
Wells Fargo Advisors, LLC
February 2013 - May 2014 · 1 yr 3 mos
Wells Fargo Advisors, LLCBroker
February 2013 - May 2014 · 1 yr 3 mos
U.S. Bancorp Investments, INC.
December 2010 - February 2013 · 2 yrs 2 mos
U.S. Bancorp Investments, INC.Broker
December 2010 - February 2013 · 2 yrs 2 mos
Wells Fargo Investments, LLC
February 2008 - December 2010 · 2 yrs 10 mos
Wells Fargo Investments, LLCBroker
December 2007 - December 2010 · 3 yrs
State Registrations32 states
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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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