Lexington, KY Summit Square Pl 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
3217 Summit Square Pl Ste 250
Lexington KY 40509
Advisors at this office
3
Advisors at this office
Austin B
Series 63, Series 65
Lexington, KY
LPL Financial
Austin Babb is a financial advisor with LPL Financial in Lexington, KY, holding Series 63 and Series 65 licenses and having 18 years of industry experience. He has been with LPL Financial since 2011. Outside of his advisory role, he acts as an agent on fixed insurance business through a doing-business-as entity, Salomon & Co. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm provides advisory and brokerage services supported by a broad platform that includes financial planning, model portfolio programs, third-party asset management, and institutional solutions.
Arthur S
Series 63
Lexington, KY
LPL Financial
Arthur Salomon is a financial advisor with LPL Financial, where he has worked since 2002. He holds a Series 63 designation and has 53 years of industry experience. Salomon serves as trustee of the Arthur R. Salomon Retirement Trust and operates several financial and business entities related to investment and fiduciary activities. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm provides a wide range of financial planning and investment management services through a large network of advisors, utilizing both proprietary and third-party strategies.
Seth S
Series 66
Lexington, KY
LPL Financial
Seth Salomon is a financial advisor with LPL Financial in Lexington, KY, holding a Series 66 designation and 15 years of industry experience. He has been with LPL Financial since 2011. Outside of his advisory work, Salomon is involved with Trude, LLC, a business entity established for tax and investment purposes. 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 financial planning, model portfolio programs, third-party asset management, and institutional platforms, supporting advisors with research and operational tools.
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