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Mary Haverly

LPL Financial LLC
17 Years of Experience
Rockford, IL
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Mary Haverly is a registered investment advisor at LPL Financial LLC, based in Rockford, IL, with 17 years of industry experience. Mary 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

6653 Weaver Rd. Ste. 101, Rockford, IL, 61114

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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.
Customer Dispute
October 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mary operates under the DBA Aine Private Wealth, Inc. for her LPL business, dedicating a significant amount of time to it. She also engages in non-variable insurance activities, spending minimal time on it.

Employment History
Current Registrations
LPL Financial LLC
April 2025 - Present · 1 yr 6 mos
LPL Financial LLCBroker
April 2025 - Present · 1 yr 6 mos
Previous Registrations
International Assets Investment Management, LLC
October 2021 - April 2025 · 3 yrs 6 mos
International Assets Advisory, LLCBroker
October 2021 - April 2025 · 3 yrs 6 mos
International Assets Investment Management, LLC
October 2021 - October 2021 · 0 mos
J.P. Morgan Securities LLCBroker
October 2012 - October 2021 · 9 yrs
J.P. Morgan Securities LLC
October 2012 - October 2021 · 9 yrs
Chase Investment Services CORP.
September 2011 - October 2012 · 1 yr 1 mo
Chase Investment Services CORP.Broker
September 2011 - October 2012 · 1 yr 1 mo
Primevest Financial Services, INC.
October 2009 - September 2011 · 1 yr 11 mos
Primevest Financial Services, INC.Broker
October 2009 - September 2011 · 1 yr 11 mos
Citigroup Global Markets INC.
January 2008 - December 2008 · 11 mos
Citigroup Global Markets INC.Broker
January 2008 - December 2008 · 11 mos
State Registrations8 states
DCFLILMNSCTXWAWI
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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