Hendersonville, NC 7th Ave. E. Office
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LPL Enterprise
Institution
Firm-wide stats for LPL Enterprise
About
LPL Enterprise, LLC provides investment advisory and brokerage services to a broad client base that includes individual and high‑net‑worth investors, employer-sponsored retirement plans, banks, corporate and charitable entities through a network of investment adviser representatives (IARs). Services described in the brochure include financial planning and consulting, access to third‑party asset managers and TAMPs, and participation in the Model Wealth Portfolios wrap program; LPLE also operates as a broker‑dealer and facilitates insurance product sales through affiliated entities.
Investment implementation is typically model‑driven: LPLE and its IARs use model portfolios developed by LPL’s Research Department, third‑party Portfolio Strategists, or TAMP sponsors, with discretionary authority granted for MWP and, as specified, to TAMP sponsors or subadvisors. Financial planning engagements are generally point‑in‑time and non‑discretionary, and the firm does not accept performance‑based fees.
Noteworthy differences from many peers include LPLE’s prominent role in non‑securities products and services disclosed in the brochure — affiliated trust custody and trustee services (PTC and FTC), an affiliated insurance agency that receives commissions, and participation in a collateralized lending program (LPL’s Secured Credit Account) in which LPL may act as lender. The brochure also makes clear that LPLE primarily provides access to and referrals for third‑party managers rather than operating a formal “selection of other advisers” program, and its disclosures do not include hypothetical performance presentations.
Based on LPL Enterprise
Location
1303 7th Ave. E., Suite A
Hendersonville NC 28792
Advisors at this office
3
Advisors at this office
Caleb R
Series 66
Hendersonville, NC
LPL Enterprise
Caleb Raper is a financial advisor at LPL Enterprise with a Series 66 designation and less than one year of industry experience. Prior to joining LPL Enterprise, he worked in various roles including at Blaze Pizza and attended Appalachian State University. LPL Enterprise provides investment advisory and brokerage services to a diverse client base, including individual investors, high-net-worth clients, and institutional entities. The firm primarily uses model-driven investment approaches and offers financial planning, third-party asset management access, and various affiliated services.
Juan A
Series 63, Series 65
Hendersonville, NC
LPL Enterprise
Juan Alvarado is a financial advisor at LPL Enterprise with five years of industry experience. He holds Series 63 and Series 65 licenses and previously worked at TD Bank and its affiliates for a total of eight years. LPL Enterprise provides investment advisory and brokerage services to a diverse client base, including individual investors, retirement plans, banks, and charitable organizations. The firm employs a model-driven investment approach using portfolios developed by LPL’s Research Department and third-party strategists, and offers financial planning, access to third-party asset managers, and insurance product sales through affiliated entities.
Heather B
CFP®, Series 63, Series 65
Hendersonville, NC
LPL Enterprise
Heather Banks is a CFP®-certified financial advisor with 17 years of industry experience. She is currently with LPL Enterprise and has previously worked at Prudential Insurance Company of America, Pruco Securities, LLC, and other firms. Outside of her advisory work, she owns and coordinates a real estate rental property. LPL Enterprise provides investment advisory and brokerage services to a wide range of clients, including individual and high-net-worth investors, retirement plans, and institutional entities. The firm’s investment approach is model-driven, utilizing portfolios developed by LPL’s Research Department and third-party strategists, and it also offers access to insurance products and affiliated trust services.
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