Brian Lee Slagle
Investment Adviser Representative at Lombard Advisers Incorporated
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Brian Lee Slagle is an investment adviser representative with Lombard Advisers Incorporated in Annapolis, MD, where they have been registered since 2018. They have worked in the securities industry since 2014 and have been registered with 3 firms, including Northwestern Mutual Investment Services, LLC and Sunpoint Securities, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Maryland.
Registrations & licenses
- Investment adviser:
- Maryland
- Broker:
8 states and territories
Arizona, Delaware, District of Columbia, Maryland, New Jersey, North Carolina, Virginia, West Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Northwestern Mutual Life Insurance CompanyApr 2016 – Oct 2017Milwaukee, WI
- Northwestern Mutual Investment Services LLCMay 2016 – Oct 2017Annapolis, MD
- Lombard Securities IncorporatedOct 2017 – no end date reportedBaltimore, MD
- Lombard Advisers IncorporatedOct 2018 – no end date reportedBaltimore, MD
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Lombard Advisers Incorporated
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- First $1,000,0001.70%
- Next $2,000,0001.00%
- Next $7,000,0000.75%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Independent and objective investment advice; Financial Professionals recommend products and services based upon knowledge, individual client needs and market conditions.
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 33
- Offices listed on AdvisorFinder:
- 16
- Main office:
- Baltimore, MD
- SEC file number:
- 801-114981
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 27, 2026
View full firm profileOther advisors at Lombard Advisers Incorporated
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian Lee Slagle has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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