About LPL Financial
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve, * supporting nearly 22,000 financial advisors, and approximately 800 institution-based investment programs and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.*No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2023); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 Company as of June 2021. LPL and its affiliated companies provide financial services only from the United States
See Disclosures
General Information
Firm Start Year
1989
CRD#
6180071
Firm CRD#
6413
States Licensed in
NJ, PA, FL, CA
Years of Experience in Financial Services
20
Number of Years with Current Firm
1
Work Experience
Peak Wealth Partners - LPL Financial - Associate Vice President | Private Wealth Advisor - May 2024 - Present Morgan Stanley - Financial Advisor - June 2019 - May 2024 Mass Mutual - Financial Advisor - Nov 2016 - July 2018 Merrill Lynch - Retirement Education Services Nov 2015 - Oct 2016 Retirement Benefits Contact Center - Mar 2013 - Nov 2016 BNY Mellon - Investment accountant Nov - 2011 - March 2013 JP Morgan - Operations specialist in Collateral Management - July 2007 - June 2010 State Street - Mutual Fund accountant - 2005 - 2007
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Risk Management, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Money Management, Wealth Management, Retirement Planning
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CRPC®
Securities Licenses
Series 7, Series 63, Series 65, Series 66
Insurance and Annuity Licenses
Variable Life, Long Term Care, Disability, Accident, Annuity, Health, Life, Variable Annuity
Firm Information
Advisor's Number of Clients
60
Advisor's Number of Managed Clients
55
Advisor's Number of Planning Clients
35
Assets Managed by Advisor
$22,000,000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$250,000
Compensation Methods
Commissions, Based on Assets, Flat Fee
Fee % Based on Assets
Ranges
Education
Bachelor of Arts - Policy Studies with a Concentration in Private Sector
Dickinson College
09/01/2000 -05/15/2004
Minor in Political Science -
Dickinson College
09/01/2000 -05/15/2004
Minor in Economics -
Dickinson College
09/01/2000 -05/15/2004
MBA - Business
Wilmington University
01/02/2010 -12/15/2010
Disclosures
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
Securities and Advisory services offered through LPL Financial. A registered investment advisor. Member FINRA & SIPC. (hyperlink FINRA & SIPC) The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.LPL Financial representatives offer access to Trust Services through The Private Trust Company N.A. an affiliate of LPL Financial