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Otsego, MN 55330
612-875-4986
About LPL
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 29,000 financial advisors, and approximately 1,100 institution-based investment programs and 570 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 1996-2024); 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
CRD#
6363831
Firm CRD#
6413
Insurance License#
40587009
Name of Broker/Dealer
LPL
States Licensed in
MN, WI, FL, WA, TX, IA
Years of Experience in Financial Services
16
Number of Years with Current Firm
1
Work with the following types of clients
Businesses, Individual Investors
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Financial Planning for Individuals, Education Funding and Planning
Services
Investment Types
Mutual Funds, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Insurance, Annuities, Stocks
Can meet clients in the following ways
Your Home, Phone, Our Office, Email, Video Conference
Compliance
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
RFC®
Securities Licenses
Series 63, Series 7, Series 65, Series 66
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, Life, Annuity
Firm Information
Advisor's Number of Clients
82
Total Assets Under Management by Advisor
$32,000,000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$10,000
Compensation Methods
Based on Assets, Flat Fee
Disclosures
RetirementPlanning.net provides referrals to financial professionals of LPL Financial, LLC (LPL). RetirementPlanning.net is not a current client of LPL. Financial professionals of LPL pay cash compensation for these referrals, which creates the incentive for RetirementPlanning.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/disclosures/lpl-financial-firm-brochure-and-program-forms-for-advisory-services.html
Disclaimer
Securities and advisory services offered through LPL Financial, a registered investment advisor, Member FINRA/SIPC