Chicago, IL Office

Team
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LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

22,816

Across 10,466 offices

Clients per advisor

86 Typical

Avg AUM per client

$399,489 Typical

HNW client ratio

34% Very High

About

LPL Financial is a national broker‑dealer and SEC‑registered investment adviser that delivers advisory and brokerage services through a network of investment adviser representatives to individuals, retirement plan participants, banks, trust companies and other institutions. Its offerings include financial planning, wrap and model portfolio programs, third‑party asset management (TAMP) access, participant‑level retirement advice (IPA and OPA), and institutional platforms such as the Bank Wealth Program.

Advice and account management are provided primarily by IARs who may implement LPL Research model portfolios, third‑party subadvisors, or customized strategies on either a discretionary or non‑discretionary basis, with options spanning strategic and tactical allocations, direct indexing and alternative exposures. The brochure notes LPL’s use of machine‑learning and other advisor‑facing tools for operational and research support while stating those systems are not used to make investment decisions for clients.

What distinguishes LPL from many peers is the scale and breadth of its non‑advisory financial activities alongside its advisory platform—an affiliated insurance agency, a firm‑offered Secured Credit Account and credit‑card arrangements, and various recordkeeping and bank partnerships—combined with oversight of over $819 billion in discretionary assets and more than 22,800 advisors. The firm’s brochure also discloses multiple regulatory enforcement matters and indicates it does not advertise hypothetical performance in its materials.

Based on LPL Financial

Expertise

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities

Based on LPL Financial

Occupation focus

Retired Founder/Business Owner Executive

Based on LPL Financial

Location

Chicago IL

Advisors at this office

16

Advisors at this office

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Antonio D

Series 63, Series 66

Chicago, IL

LPL Financial

Antonio Desamours is a financial advisor with LPL Financial, holding Series 63 and Series 66 licenses and 27 years of industry experience. He previously worked at Merrill Lynch and Bank of America, with tenures spanning from 2008 to 2023. Based in Chicago, IL, he joined LPL Financial in 2023. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services, including financial planning and access to various investment programs, supported by a large network of advisors and extensive operational resources.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Mark S

ChFC®, Series 63

Chicago, IL

LPL Financial

Mark Swartzendruber is a financial advisor with LPL Financial in Chicago, IL, holding the ChFC® designation and Series 63 license, with 36 years of industry experience. He has been with LPL Financial since 2009 and has operated his own advisory business since 2005. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of financial planning and investment management services, including access to third-party asset managers and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Wesley L

Series 66

Chicago, IL

LPL Financial

Wesley Lenart is a financial advisor with LPL Financial in Chicago, IL, holding a Series 66 designation and three years of industry experience. His prior positions include roles at BMO, The Prudential Insurance Company of America, and E*TRADE Securities LLC. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolio programs, and institutional platforms, supported by extensive resources and technology.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Philip B

Series 63, Series 66

Chicago, IL

LPL Financial

Philip Bandle is a financial advisor at LPL Financial with 29 years of industry experience. He holds Series 63 and Series 66 designations and previously worked at Wayne Hummer Investments, Banc of America Investment Services, Inc., and A. G. Edwards & Sons, Inc. Outside of his advisory role, he is involved with Wintrust Investments, a DBA entity related to LPL business. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers diverse financial planning, asset management, and institutional platforms supported by a large network of advisors and advanced operational tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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John H

Series 63, Series 66

Chicago, IL

LPL Financial

John Hussar is a financial advisor at LPL Financial in Chicago, IL, holding Series 63 and Series 66 licenses with seven years of industry experience. His prior work includes eight years at J.P. Morgan Securities LLC and JPMorgan Chase Bank, N.A., as well as founding Hussar Capital Group. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolios, third-party asset management, and institutional platforms, supported by a large network of over 22,800 representatives and advanced operational tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Adolfo H

Series 63, Series 66

Chicago, IL

LPL Financial

Adolfo Herrera is a financial advisor at LPL Financial with 18 years of industry experience. He holds Series 63 and Series 66 licenses. His prior roles include positions at Wintrust Investments, LLC, U.S. Bancorp Investments, Inc., J.P. Morgan Securities, and Chase Investment Services Corp. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers a broad range of financial planning and investment management services, utilizing model portfolios, third-party subadvisors, and customized strategies.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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William D

Series 63, Series 65

Chicago, IL

LPL Financial

William Degaudenzi is a financial advisor with LPL Financial in Chicago, IL, holding Series 63 and Series 65 licenses and bringing 27 years of industry experience. His prior roles include positions at Mass Mutual Investors Services, Massachusetts Mutual Life Insurance Company, and MetLife Resources. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning and access to third-party asset managers, supported by extensive advisor tools and a broad non-advisory financial platform.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Elizabeth P

Series 66

Chicago, IL

LPL Financial

Elizabeth Palomar is a financial advisor with LPL Financial based in Chicago, IL, holding a Series 66 license and three years of industry experience. She has worked at LPL Financial, BMO, Prudential Insurance Company of America, Pruco Securities, and Compass. Outside of her advisory role, she is involved with Compass Real Estate, providing mortgage and real estate services. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolio programs, and access to third-party asset managers.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Susan M

CFP®, Series 63, Series 65

Chicago, IL

LPL Financial

Susan McCarthy is a financial advisor with LPL Financial in Chicago, IL, holding CFP®, Series 63, and Series 65 credentials and bringing 44 years of industry experience. She has previously worked at Linsco Private Ledger and Valic Financial Advisors. Outside of her advisory work, she is a member of a volunteer musical group called Grace Notes that performs at retirement homes, hospitals, churches, and local libraries. LPL Financial is a national broker-dealer and SEC-registered investment adviser offering advisory and brokerage services to individuals, institutions, and retirement plan participants. The firm provides various investment options including model portfolios, third-party asset management, and institutional platforms while supporting advisors with technology and research tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Laina H

Series 66

Chicago, IL

LPL Financial

Laina Hall is a financial advisor with LPL Financial based in Chicago, IL, holding a Series 66 designation and two years of industry experience. She has previously worked at Modern Capital Concepts and has held roles in various sectors including education and retail. Hall also provides administrative support to Modern Capital Concepts, an independent investment advisor firm. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers financial planning, model portfolio programs, third-party asset management, and institutional platforms, with advice and account management delivered primarily through investment adviser representatives.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Thomas H

CFP®, Series 63

Chicago, IL

LPL Financial

Thomas Harris is a CFP® professional with 25 years of industry experience. He has worked at LPL Financial since 2009 and previously spent four years at Waterstone Financial Group, Inc. Additionally, he is a licensed insurance sales agent and serves as a notary public in Illinois. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and other institutions. The firm offers a variety of financial planning and investment management services, utilizing model portfolios, third-party subadvisors, and customized strategies, supported by advanced operational and research tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Richard G

CFP®, Series 63, Series 66

Chicago, IL

LPL Financial

Richard Gates IV is a CFP® professional with 28 years of industry experience, currently serving as a financial advisor at LPL Financial since 2016. His prior work includes roles at LWI Financial Inc., Cetera, and Buckingham Strategic Wealth, LLC. LPL Financial is a national broker-dealer and SEC-registered investment adviser providing financial planning, model portfolios, and institutional platforms to individuals, retirement plans, banks, and trust companies. The firm supports its network of over 22,800 advisors with a range of advisory and brokerage services, utilizing both proprietary and third-party investment strategies.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Jill T

CFP®, Series 63, Series 65

Chicago, IL

LPL Financial

Jill Thomas is a CFP®-designated financial advisor with 28 years of industry experience, currently affiliated with LPL Financial. Her prior experience includes roles at Cambridge Investment Research Advisors, WFG Investments Inc., and an earlier tenure at LPL Financial. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm provides a range of services including financial planning, model portfolio programs, third-party asset management, and institutional platforms, supported by advanced research and operational tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Bradley M

Series 63, Series 66

Chicago, IL

LPL Financial

Bradley Martin is a financial advisor with LPL Financial in Chicago, IL, holding Series 63 and Series 66 licenses and possessing 19 years of industry experience. His prior roles include positions at JPMorgan Chase Bank NA and JPMorgan Securities LLC from 2008 to 2019, followed by tenure at BMO Harris Financial Advisors, Inc. since 2019. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services, including financial planning and model portfolio programs, supported by extensive technology and a broad platform of non-advisory financial activities.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Julie S

Series 63, Series 66

Chicago, IL

LPL Financial

Julie Sharnowski is a financial advisor with LPL Financial in Chicago, IL, holding Series 63 and Series 66 designations and 37 years of industry experience. Her career includes roles at LPL Financial, Notre Dame Federal Credit Union, Cetera Advisor Networks, and Fidelity. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of financial planning and investment management solutions, including access to model portfolios, third-party asset management, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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