CHARLOTTE, N.C. – Nov. 13, 2019 – LPL Financial LLC, a leading retail investment advisory firm and independent broker-dealer, today announced that financial advisors Kenneth Small CFP® and Natalie Jump have joined LPL Financial’s broker-dealer and corporate registered investment advisor (RIA) platforms. They reported having served approximately $135 million in brokerage and advisory assets*. They join from Securities America, part of Ladenburg Thalmann’s group of broker-dealers.
For more than 35 years, Small has combined his experience in retirement and estate planning to deliver personalized, professional financial planning to families transitioning from corporate jobs into retirement. Jump joined his team in the late 1990s, working her way from an administrative assistant to partner with Small working as a licensed wealth advisor.
Move to LPL is Part of Succession Plan
The move to LPL Financial is an initial step in Small’s succession plan, combining his business with Professional Wealth Advisors, an LPL wealth management team based in Downer Grove, Ill. “I care deeply about our clients, and this move is all about them. While I have no plans to slow down or stop working anytime soon, I need an exit strategy to support my clients’ futures and ensure continuation of service,” Small said. “Natalie and I will continue to work exclusively with our clients under the new partnership.”
Small was eager to join LPL, noting that he was impressed with the firm’s technology resources, personalized support and leadership within the industry, offering a comprehensive lineup of products and services. “LPL has a significant footprint in all areas of retirement planning and the range of resources will help me take care of clients in all phases of retirement.”
“Ken and Natalie are a dynamic duo and we are proud to have them join our team,” said Josh Gerry, principal, Professional Wealth Advisors. “We surveyed the scene looking for top financial advisors to join our practice and found none better than Ken and Natalie. They are quality advisors who operate their business with integrity and thoughtfulness, which is something we want to continue as we grow our business.”
Rich Steinmeier, LPL Financial managing director and divisional president, Business Development, said, “It is important for financial advisors to create a thoughtful retirement plan to ensure the continuing care of their clients and so they are able to effectively monetize their practice. We applaud the commitment Ken and Natalie have made to their clients and we look forward to supporting the duo, their clients and Professional Wealth Advisors through the phases of their growth and transition.”
Read about other firms that recently joined LPL in the LPL Financial News and Media section of LPL.com.
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About LPL Financial
LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker-dealer**. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions.
Securities and Advisory services offered through LPL Financial, a registered investment advisor. Member FINRA / SIPC.
Professional Wealth Advisors and LPL Financial are separate entities.
*Based on prior business and represents assets that would have been custodied at LPL Financial, rather than third-party custodians. Reported assets and client numbers have not been independently and fully verified by LPL Financial.
**Based on total revenues, Financial Planning magazine June 1996-2019