LPL Financial Welcomes Additional Top Firms and Advisors from INVEST and SII

Last Edited by: LPL Financial

Last Updated: February 28, 2018


Firms or advisors and their approximate respective assets served*, as of a recent date prior to joining LPL, include:


  • Affinity Federal Credit Union
  • American Federal Bank
  • Bank Midwest
  • Bank of Blue Valley
  • Beneficial Advisors LLC
  • Black Hills Federal Credit Union
  • Booth Financial Associates
  • Capital City Banc Investments
  • Commercial Bank & Trust Co.
  • Community Financial Services, Inc.
  • Deere Employees Credit Union
  • Elizabeth Foley
  • Equitable Bank
  • Evolve Investment Services
  • Fidelity Deposit & Discount Bank
  • Financial Investors, Marshfield, WI
  • Financial Planning Advisory Group
  • First Bank of Tennessee
  • First Business Bank
  • First State Bank of St. Charles
  • FNCB Bank
  • Gary Frank
  • George Weingartner
  • Gretchen Meyer Financial
  • Hassett Tax & Financial Services
  • HJR Financial Group
  • Invest For A Lifetime LLC
  • Investment Services & Retirement Planning
  • Jacqueline L. Powell & Associates Inc.
  • James Connor and Anthony Sexton
  • Jensen, Marks, Langer & Vance Comprehensive Wealth Planning
  • JLM Financial
  • Legamaro Financial Services
  • New Wall Street
  • Northfield Bank
  • Pathkeeper Financial Inc.
  • Pearson Financial Group
  • Prime Financial Corporation
  • Proactive Wealth Management
  • RAI Advisors
  • Research Financial Group
  • Ressler Financial Services
  • Retirement Advisory Group
  • Retirement Solutions
  • RFG Wealth Management
  • Royal Credit Union
  • Schooner Financial Associates
  • Schulte Financial Group LLC
  • Sergio Kindler
  • Society for Lifetime Planning
  • Stone Houston and Associates Inc.
  • Sun National Bank
  • TA-Check Financial Ltd.
  • Tax Line Corp.
  • Trinity Management Group
  • Two Rivers Bank & Trust
  • Valley Financial Group
  • Vision Financial Group
  • Waterview Wealth Management
  • Wayne Bank

NPH assets were purchased by LPL as part of a previously announced transaction in August 2017.

Additional top-producing NPH firms from INVEST Financial Corporation and SII Investments, Inc. —those that reported serving more than $500 million of client assets*—were announced previously.

*Each firm’s or advisor’s asset number represents the aggregate asset numbers reported by the advisor, or in the case of firms, by advisors  to their respective firms, are based on prior business, include both brokerage and advisory assets, and have not been independently and fully verified by LPL Financial.

The information in this press release is not intended to update or change any of the information, including information about recruiting results, previously publicly disclosed by LPL Financial.

LPL Financial and the Advisor Firms listed are separate entities. 

Forward-Looking Statements

Statements in this press release regarding the Company’s future levels of assets serviced, growth, business strategy, and plans, as well as any other statements that are not related to present facts or current conditions or that are not purely historical, constitute forward-looking statements. These forward-looking statements are based on the Company’s historical performance and its plans, estimates and expectations as of Feb. 28, 2018. The words “believes,” “expects,” “may,” “plans,” “will” and similar expressions are intended to identify forward-looking statements, although not all forward-looking statements contain these identifying words. Forward-looking statements are not guarantees that the future results, plans, intentions or expectations expressed or implied by the Company will be achieved. Matters subject to forward-looking statements involve known and unknown risks and uncertainties, including economic, legislative, regulatory, competitive and other factors, which may cause levels of assets serviced, actual financial or operating results, levels of activity, or the timing of events, to be materially different than those expressed or implied by forward-looking statements. In particular, the Company can provide no assurance that the assets reported as serviced by financial advisors and/or firms mentioned in this press release will translate into assets continuously serviced at LPL Financial or that such financial advisors and/or firms will remain at LPL Financial. Important factors that could cause or contribute to such differences include: the choice by one or any of the clients of the Company's newly recruited financial advisors and/or firms mentioned in this press release not to maintain brokerage and/or advisory accounts at LPL Financial; discovery of errors made in the calculation of assets serviced reported by the newly recruited advisors; changes in general economic and financial market conditions, including retail investor sentiment; fluctuations in the value of assets under custody; effects of competition in the financial services industry; and the other factors set forth in Part I, “Item 1A. Risk Factors” in the Company’s 2017 Annual Report on Form 10-K and any subsequent SEC filing. Except as required by law, the Company specifically disclaims any obligation to update any forward-looking statements as a result of developments occurring after the date of this press release, even if its estimates change, and you should not rely on those statements as representing the Company’s views as of any date subsequent to Feb. 28, 2018.