Knoxville, TN Clyde Street NW Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
500 Clyde Street NW
Knoxville TN 37921
Advisors at this office
3
Advisors at this office
Gail H
CFP®, Series 63, Series 65
Knoxville, TN
LPL Financial
Gail Hatfield is a CFP® professional with eight years of experience in the financial industry. She has worked at LPL Financial since 2017 and previously spent one year at UT Federal Credit Union. In addition to her advisory role, she is a commissioned notary public. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations. The firm offers a wide range of advisory programs and financial planning services, including discretionary and non-discretionary management supported by in-house and third-party research.
Hassan F
CFP®, Series 63
Knoxville, TN
LPL Financial
Hassan Fawaz is a CFP® professional with 28 years of experience in the financial services industry, currently affiliated with LPL Financial since 2009. Based in Knoxville, TN, he also sells fixed annuities and various insurance products. Fawaz holds a Series 63 license and has been involved in other business activities including serving as a notary and operating a financial services DBA in Tennessee. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of financial planning and advisory programs, utilizing both discretionary and non-discretionary management supported by LPL Research and third-party subadvisors.
Darcy K
Series 66
Knoxville, TN
LPL Financial
Darcy King is a financial advisor with LPL Financial in Knoxville, TN, holding a Series 66 designation and possessing two years of industry experience. Prior to joining LPL Financial and Financial Partners of TN in 2024, King worked in legal and dental fields and has experience with AXA Advisors. Outside of financial advising, King owns a small business called King's Fruity Fusion. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations. The firm offers a range of advisory programs and financial planning services, utilizing model portfolios and research, and provides both discretionary and non-discretionary portfolio management options.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")