Albany, NY Tower Place Office
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LPL Financial
Institution
Firm-wide stats for LPL Financial
About
LPL Financial is an SEC‑registered investment adviser and broker‑dealer that serves individuals (including high‑net‑worth and non‑HNW clients), retirement plans and plan participants, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives (IARs). The firm offers financial planning, a variety of advisory programs (wrap, model and TAMP offerings), retirement plan consulting, 529 account management, and brokerage services, with program descriptions and client agreements provided through the IARs.
The firm provides both discretionary and non‑discretionary management across its programs and makes available model portfolios and research from LPL Research, third‑party subadvisors, and TAMP sponsors; LPL Research describes strategic (three‑ to five‑year) and tactical model approaches and supports diversified and alternative strategies. LPL also offers overlay portfolio management, direct indexing options, the Bank Wealth Program for institutional clients, and participant advice programs (IPA/OPA), and discloses use of technologies such as machine learning along with broad risk disclosures for many security types.
Compared with many peers, LPL’s brochure documents a substantial scope of non‑advisory product activity—an affiliated insurance agency (LPLIA) and continued insurance product sales by IARs, a collateralized lending program including LPL’s Secured Credit Account, and a credit‑card offering through a partner bank—alongside its advisory businesses. The brochure also discloses that LPL advertises performance results but does not present hypothetical performance, and it includes a summary of recent regulatory enforcement matters and remedial undertakings.
Based on LPL Financial
Location
6 Tower Place
Albany NY 12203
Advisors at this office
7
Advisors at this office
Brittany H
CFP®, Series 66
Albany, NY
LPL Financial
Brittany Hedderman Giordano is a CFP® professional with nine years of industry experience, currently affiliated with LPL Financial in Albany, NY. She has worked with WealthOne LLC since 2017 and has experience in healthcare from her time at Community Care Physicians. Giordano is also a commissioned notary public. LPL Financial is an SEC-registered investment adviser and broker-dealer that serves a broad client base including individuals, retirement plans, financial institutions, corporations, and charitable organizations. The firm offers comprehensive financial planning and advisory programs, utilizing model portfolios and research from multiple sources to support both discretionary and non-discretionary management.
Todd S
CFP®, Series 63, Series 65
Albany, NY
LPL Financial
Todd Slingerland is a CFP® professional with 37 years of industry experience, currently affiliated with LPL Financial since 2016. He has also been associated with CFPLLC, LLC and Wealthone LLC since 2003. Outside of his advisory work, he owns an insurance agency specializing in fixed, life, disability, and long-term insurance products. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, and charitable organizations through a large national network. The firm offers a range of advisory programs and financial planning services, providing both discretionary and non-discretionary management supported by research, model portfolios, and various technology tools.
Adam N
Series 66
Albany, NY
LPL Financial
Adam Neary is a financial advisor with LPL Financial in Albany, NY, holding a Series 66 designation and 22 years of industry experience. He has been associated with WealthOne, LLC since 2011 and LPL Financial since 2016, with additional experience managing his own advisory entities. Outside of his advisory roles, he is involved with WP Strategic Holding, LLC, a non-investment related business. LPL Financial serves a wide range of clients including individuals, retirement plans, banks, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers comprehensive financial planning, advisory programs, retirement plan consulting, and brokerage services, with access to model portfolios and research from various sources.
Shelby M
Series 66
Albany, NY
LPL Financial
Shelby Martin is a Series 66 licensed financial advisor with LPL Financial, based in Albany, NY, and has nine years of industry experience. Since 2017, Martin has been associated with WealthOne, LLC, an independent registered investment advisory firm through which he provides investment advisory services. He has been with LPL Financial since 2016. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations via a national network of investment adviser representatives. The firm offers a range of financial planning and advisory programs, including discretionary and non-discretionary management, and utilizes model portfolios and research from multiple sources.
Daniel O
CFP®, CFA®, Series 66
Albany, NY
LPL Financial
Daniel O’Keefe is a CFP® and CFA® credentialed advisor with 16 years of industry experience. He is affiliated with LPL Financial and has been serving clients through WealthOne LLC since 2016. Outside of his advisory work, he is a 10% owner of The Neary Group LLC, a business unrelated to investments. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations. The firm offers a range of advisory programs and financial planning services supported by research, model portfolios, and technology-driven strategies.
Tyler G
Series 66
Albany, NY
LPL Financial
Tyler Gregory is a financial advisor at LPL Financial with one year of industry experience. He holds a Series 66 designation and has prior work history at WPS Holdings and Marist College. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations. The firm offers a range of financial planning and advisory programs, retirement plan consulting, and brokerage services through a national network of investment adviser representatives.
Paul S
Series 63, Series 65
Albany, NY
LPL Financial
Paul Stracke Jr. is a financial advisor with LPL Financial, holding Series 63 and Series 65 credentials and bringing 34 years of industry experience. He has been with LPL Financial since 2016 and also provides investment advisory services through WealthOne, LLC. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations nationwide, offering various advisory programs, retirement plan consulting, and brokerage services supported by research and model portfolios.
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