Denver, CO 1999 Broadway 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
1999 Broadway Ste 850 A
Denver CO 80202
Advisors at this office
3
Advisors at this office
Trinity C
Series 65
Denver, CO
LPL Financial
Trinity Clancy is a financial advisor at LPL Financial with nine years of industry experience. She holds a Series 65 designation and has worked at firms including Transamerica Financial Advisors and World Financial Group. Outside of her advisory role, she is involved with Infinity Insurance Strategies, Inc., an insurance agency. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a variety of advisory programs, retirement plan consulting, and brokerage services, utilizing both discretionary and non-discretionary management with access to research from LPL and third-party sources.
Edward L
Series 63, Series 65
Denver, CO
LPL Financial
Edward Lee is a financial advisor with LPL Financial in Denver, CO, holding Series 63 and Series 65 licenses and possessing 21 years of industry experience. His prior work includes roles at Executive Consultants Inc., Transamerica Financial Advisors, and World Financial Group. He also has involvement in non-variable insurance services. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations nationwide. The firm offers a range of advisory programs, financial planning, and retirement consulting, utilizing both discretionary and non-discretionary management supported by in-house and third-party research.
Don S
Series 63, Series 65
Denver, CO
LPL Financial
Don Stewart is a financial advisor with LPL Financial in Denver, CO, holding Series 63 and Series 65 credentials and bringing 19 years of industry experience. He has previously worked at Transamerica Financial Advisors, Inc. for ten years and operates comprehensive business services including tax preparation and bookkeeping through his CPA firms. Additionally, he serves as a notary in Denver. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a wide range of clients, including individuals, retirement plans, corporations, and charitable organizations. The firm provides financial planning, advisory programs, retirement plan consulting, and brokerage services, offering both discretionary and non-discretionary management with access to model portfolios and research from various sources.
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