CHARLOTTE, N.C. – Dec. 12, 2018 – LPL Financial LLC, a leading retail investment advisory firm and independent broker-dealer, today announced that John Marshall & Associates Investment Center has joined LPL Financial’s broker-dealer and corporate registered investment advisor (RIA) platforms. The firm includes veteran financial advisors John Marshall and Daniel Sickles as well as Sean Goldney. The firm’s three advisors reported having served approximately $185 million of client brokerage and advisory assets*. They join from Cetera Advisor Networks.
The firm was founded by John Marshall on Jan. 4, 1973. With his move to LPL, he will retire and is selling his business to LPL Financial advisor Heath Haynes, an independent financial advisor and founder of Haynes Investment Management. Haynes, who has been affiliated with LPL for eight years, will join Sickles and Goldney in the practice.
Marshall said a key reason he chose to move his business to LPL Financial was having access to LPL’s succession resources and support to ease the inevitable transition of his business.
“After 51 years it’s time for me to retire,” Marshall said. He is looking forward to traveling and spending time with family. “I will see the group through the transition and I am confident that my successor, Heath Haynes, with his longevity and stability, will provide the firm with a partner for continued success.”
Based in Lake Havasu City, Ariz., the firm takes a holistic approach to financial guidance, providing personal service, building a client-focused plan and providing disciplined advice to help work toward their clients’ goals. The team chose LPL Financial for the firm’s stability and capabilities to help their business grow. “LPL’s size and dedication to investing in their integrated platform made our choice to join a simple one,” said Marshall. “By being able to use the resources and technology that LPL offers, the team has the potential to better manage daily operations, build comprehensive plans and increase value in the relationships we have with our clients.”
Rich Steinmeier, LPL Financial managing director, and divisional president, Business Development, said, “We understand what advisors need to build a successful firm, and we are committed to investing in the resources necessary to help them achieve that success. We are able to meet them where they are—whether that is growing their firm or transitioning into succession—and deliver the support and services that are right for them and will add value to their business and their clients. We welcome John, Daniel and Sean to the LPL family.”
Read about other firms that recently joined LPL in the News and Media section.
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 offered through LPL Financial, member FINRA/SIPC.
*Based on prior business and represents assets that would have been custodied at LPL Financial, rather than third-party custodians. Reported assets have not been independently and fully verified by LPL Financial.
**Based on total revenues, Financial Planning magazine June 1996-2018
LPL Financial, John Marshall & Associates Investment Center and Haynes Investment Management are separate entities.