Englewood, CO 385 Inverness Parkway 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
385 Inverness Parkway Ste 160
Englewood CO 80112
Advisors at this office
4
Advisors at this office
Chester W
Series 66
Englewood, CO
LPL Financial
Chester Wallace Jr. is a financial advisor with LPL Financial in Englewood, CO, holding a Series 66 designation and 25 years of industry experience. He previously worked at Securities America Advisors, Inc. and Securities America, Inc. from 2008 to 2020 before joining LPL Financial in 2020. Outside of his advisory work, he is involved with several business entities related to tax and investment purposes. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of advisory programs, financial planning, and retirement consulting services with both discretionary and non-discretionary management options supported by proprietary and third-party research.
Katie O
Series 66
Englewood, CO
LPL Financial
Katie O'Leary Wiese is a financial advisor at LPL Financial with 16 years of industry experience. She holds the Series 66 designation and has been with LPL Financial since 2010. Outside of her advisory role, she is a notary public. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad range of clients, including individuals, retirement plans, banks, and charitable organizations, offering various advisory programs and financial planning services.
Daniel O
Series 66
Englewood, CO
LPL Financial
Daniel Oleary is a financial advisor at LPL Financial with 28 years of industry experience. He holds the Series 66 designation and previously worked at Securities America, Inc. and Securities America Advisors, Inc. for 13 years before joining LPL Financial in 2020. Outside of his advisory work, he is involved in managing a business entity called O'Leary Group. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of financial planning and advisory programs, including discretionary and non-discretionary management, supported by research, model portfolios, and various institutional services.
James O
ChFC®, Series 63, Series 65
Englewood, CO
LPL Financial
James O'Leary is a financial advisor with LPL Financial, holding the ChFC® designation and Series 63 and 65 licenses. He has 43 years of experience in the industry and has been with LPL Financial since 2010. O'Leary also acts as a non-variable insurance agent. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of advisory programs, financial planning, and retirement plan consulting, utilizing both discretionary and non-discretionary management supported by research from LPL Research and third-party subadvisors.
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