LPL Financial LLC
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LPL Financial LLC is a broker-dealer with over 15,956 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.
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Advisors (15,954)
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*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing.
Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not
updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please
contact the firm directly to determine the employment status of the advisors listed above.
Firm Assets Under Management
$200.8K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.
Ownership
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Lpl Holdings, Inc.
(75% or more)
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Executives with less than 5% share each
*The pie chart is not drawn to scale and is simply included to make the data visually understandable.
The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.
Executives and Control Persons
| Name |
Title |
Tenure Date |
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Christopher Feeney
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Managing Director, Chief Information Officer |
01/01/2008 |
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Stephanie Leigh Brown
|
Managing Director, General Counsel |
12/01/1989 |
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Mark Stephen Casady
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Chairman & Chief Executive Officer |
12/01/2005 |
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Dan Hogan Jr Arnold
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Managing Director, Head of Strategy |
08/01/2007 |
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Jonathan Galen Eaton
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Managing Director, Custom Clearing Services |
01/01/2008 |
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Kathleen Denise Vannoy-Pineda
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Executive Vice President, Chief Compliance Officer, Brokerage |
05/01/2009 |
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Mark Robert Helliker
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Managing Director, Broker/Dealer Support Services |
08/01/2008 |
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Derek Jerold Bruton
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Managing Director, National Sales Manager, Independent Advisor Services |
03/01/2010 |
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Paul Middlemiss
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Executive Vice President, Chief Compliance Officer, Advisory |
05/01/2011 |
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John Andrew Kalbaugh
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Managing Director, Institution Services |
03/01/2010 |
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William Edward III Dwyer
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Managing Director, President, National Sales |
01/01/2004 |
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George Burton White
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Managing Director, Research, Chief Investment Officer |
11/01/2007 |
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Robert Moore
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Managing Director, Chief Financial Officer, President and Chief Operating Officer |
03/01/2009 |
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John Jerome Jr. Mcdermott
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Managing Director, Chief Risk Officer |
07/01/2009 |
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Joan Dominy Khoury
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Managing Director, Chief Marketing Officer |
05/01/2012 |
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Sallie Rebecca Larsen
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Chief Human Capital Officer |
05/01/2012 |
Affiliated Investment Advisors and Broker Dealers
Principal Office & Place of Business
| Other Offices Address |
City |
State |
Zip |
| 9785 Towne Centre Drive |
San Diego |
CA |
92121 |
| 4828 Parkway Plaza Blvd, 3Rd Floor |
Charlotte |
NC |
28217 |
Firm Compensation Arrangements
Types of Compensation Arrangements
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Percentage of Assets
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Hourly Charges
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Fixed Fees
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Commissions
