The Woodlands, TX Office

Team
Updated today
LPL Enterprise logo

LPL Enterprise

Institution

Firm-wide stats for LPL Enterprise

Total advisors

3,115

Across 863 offices

Clients per advisor

33 Very Low

Avg AUM per client

$239,757 Very Low

HNW client ratio

22% Typical

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

Expertise

Tax-loss harvesting

Based on LPL Enterprise

Location

24 Waterway Avenue, Suite 650

The Woodlands TX 77380

Advisors at this office

4

Advisors at this office

user avatar

Shaoying Q

Series 66

The Woodlands, TX

LPL Enterprise

Shaoying Qing is a financial advisor with LPL Enterprise holding a Series 66 designation and one year of industry experience. Prior to joining LPL Enterprise, Qing held positions at Pruco Securities LLC and GHA Capstone, LLC. Qing has also been involved with an e-commerce LLC and has experience at Texas Tech University. LPL Enterprise provides investment advisory and brokerage services to individual and high-net-worth investors, retirement plans, banks, and other entities through a network of investment adviser representatives. The firm primarily uses model-driven investment implementation and offers access to third-party asset managers and financial planning services.

Tax-loss harvesting
user avatar

Jacob B

Series 65, Series 63

The Woodlands, TX

LPL Enterprise

Jacob Bazzrea is a financial advisor with LPL Enterprise LLC, holding Series 65 and Series 63 licenses and five years of industry experience. His prior roles include positions at Hornor, Townsend & Kent, Penn Mutual Life Insurance Company, and New York Life Insurance Co. Outside of his advisory work, he is employed as an AI tutor. LPL Enterprise provides investment advisory and brokerage services to a diverse client base, including individual and high-net-worth investors, retirement plans, banks, and charitable entities. The firm employs a model-driven investment approach and offers financial planning, access to third-party asset managers, and insurance product sales through affiliated entities.

Tax-loss harvesting
user avatar

Daniel B

Series 63, Series 65

The Woodlands, TX

LPL Enterprise

Daniel Bosworth is a financial advisor at LPL Enterprise with six years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Prudential Insurance Company of America and Pruco Securities, LLC. He also serves as an investor representative linked to non-variable insurance with Blue Cross Blue Shield of Texas and Prudential-sponsored non-variable insurance activities. LPL Enterprise provides investment advisory and brokerage services to individual and high-net-worth investors, retirement plans, banks, corporations, and charitable entities through a network of investment adviser representatives. The firm employs a model-driven investment approach and offers financial planning, access to third-party asset managers, and insurance product sales through affiliated entities.

Tax-loss harvesting
user avatar

Andrew K

Series 63, Series 65

The Woodlands, TX

LPL Enterprise

Andrew Kirwin is a financial advisor with LPL Enterprise, holding Series 63 and Series 65 licenses and 13 years of industry experience. His prior roles include positions at The Prudential Insurance Company of America, Pruco Securities LLC, MML Investors Services, MassMutual Life Insurance Company, Hornor Townsend & Kent Inc, and Penn Mutual Life Insurance Co. He receives residual income from insurance business placed during his previous employment. LPL Enterprise provides investment advisory and brokerage services to individual and high-net-worth investors, retirement plans, banks, corporate and charitable entities through a network of investment adviser representatives. The firm’s investment approach is model-driven, utilizing portfolios developed by LPL’s Research Department and third-party strategists, and it offers access to financial planning, asset managers, and affiliated insurance and trust services.

Tax-loss harvesting
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