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Harry Hughes is a registered investment advisor at LPL Financial LLC, based in Rowlett, TX, with 43 years of industry experience. Harry 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.
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 Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Rowlett, TX
Get directionsHistory
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
June 2010Settled
Employment History
Current Registrations
LPL Financial LLCBroker
October 2024 - Present · 2 yrs
LPL Financial LLC
October 2024 - Present · 2 yrs
Previous Registrations
B. Riley Wealth ManagementBroker
July 2022 - November 2024 · 2 yrs 4 mos
B. Riley Wealth Advisors, INC.
August 2017 - November 2024 · 7 yrs 3 mos
National Securities CorporationBroker
July 2017 - July 2022 · 5 yrs
Wfg Investments, INC.Broker
May 2007 - July 2017 · 10 yrs 2 mos
Wfg Advisors, LP
May 2007 - July 2017 · 10 yrs 2 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2007 · 13 yrs 11 mos
Citigroup Global Markets INC.
July 1993 - June 2007 · 13 yrs 11 mos
Lehman Brothers INC.Broker
March 1990 - July 1993 · 3 yrs 4 mos
Eppler, Guerin & Turner, INC.Broker
October 1984 - March 1990 · 5 yrs 5 mos
American General Capital Planning, INC.Broker
October 1976 - December 1977 · 1 yr 2 mos
State Registrations7 states
ALCTFLGANMTXVA
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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