Katy, TX Office
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LPL Financial
Institution
Firm-wide stats for LPL Financial
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
Based on LPL Financial
Location
Katy TX
Advisors at this office
4
Advisors at this office
Yi Z
Series 66
Katy, TX
LPL Financial
Yi Zhu is a financial advisor with LPL Financial, holding a Series 66 designation and two years of industry experience. Prior to joining LPL Financial in 2023, Yi worked at Canaccord Genuity Wealth Management from 2018 to 2022 and Raymond James Ltd. from 2014 to 2018. 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 financial planning, model portfolio programs, third-party asset management, and institutional platforms, deploying a range of strategies including customized discretionary and non-discretionary approaches.
Steven N
Series 63, Series 65, Series 66
Katy, TX
LPL Financial
Steven Nelson is a financial advisor with LPL Financial in Katy, TX, holding Series 63, Series 65, and Series 66 credentials and having 28 years of industry experience. He previously worked at Next Financial Group Inc. for 19 years and Bok Financial Asset Management, Inc. for one year. LPL Financial is a national broker-dealer and SEC-registered investment adviser that serves individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a broad range of advisory and brokerage services through a large network of investment adviser representatives and provides access to model portfolios, third-party asset management, and institutional platforms.
Tracy T
Series 66
Katy, TX
LPL Financial
Tracy Taylor is a financial advisor with LPL Financial based in Katy, TX, holding a Series 66 designation and 12 years of industry experience. She has worked at several firms including Merrill and HD Vest Investment Services before joining LPL Financial in 2019. Outside of advisory activities, she is involved in an investment related to her husband’s trucking business. 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 financial planning, portfolio management, third-party asset management, and institutional platforms, supporting advisors with various strategies and technology tools.
Morgan P
Series 63, Series 66
Katy, TX
LPL Financial
Morgan Pyle is a financial advisor with LPL Financial in Katy, TX, holding Series 63 and Series 66 licenses and nine years of industry experience. His prior work includes positions at Bank of America, Merrill, JP Morgan Chase Bank, and Wells Fargo. Outside of his advisory role, he serves as a substitute teacher within the Katy Independent School District. 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 third-party asset management, supported by advanced operational and research tools.
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