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Brian Whinnery

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

Brian Whinnery is a registered investment advisor at LPL Financial LLC, based in Minneapolis, MN, with 15 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
—
View Full SEC Brochure

Location

901 Marquette Ave Ste 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

Brian operates Hays Investment Advisors as a DBA for LPL business, dedicating full-time hours. He also provides investment advisory services through The Hays Financial Group, spending nearly full-time hours, and serves as a board member for World Archives, LLC, dedicating minimal time. Brian is also involved with Norgard Capital Partners for tax/investment purposes, dedicating minimal time.

Employment History
Current Registrations
LPL Financial LLC
April 2023 - Present · 3 yrs 6 mos
Hays Financial Group, LLC
May 2021 - Present · 5 yrs 5 mos
LPL Financial LLCBroker
March 2016 - Present · 10 yrs 7 mos
Previous Registrations
Global Retirement Partners LLC
April 2016 - October 2021 · 5 yrs 6 mos
RBC Capital Markets, LLC
May 2011 - April 2016 · 4 yrs 11 mos
RBC Capital Markets, LLCBroker
March 2011 - April 2016 · 5 yrs 1 mo
State Registrations24 states
ARAZCACODCDEFLIAILINKSMAMNMONDNENYOKORPASDTXWAWI
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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