Brian Ullman
Brian Ullman is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Port Jefferson, NY, with 49 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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
Location
Port Jefferson, NY
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2007Customer Dispute
December 1998Customer Dispute
September 1998Other Business ActivitiesSells Insurance
Brian has been an insurance agent since 1976, selling universal life, term insurance, fixed annuities, and long-term care (LTC) products. This activity is not investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations13 states
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
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