Littleton, CO 7761 Shaffer Pkwy 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
7761 Shaffer Pkwy Ste 100
Littleton CO 80127-3729
Advisors at this office
4
Advisors at this office
James L
Series 63, Series 65
Littleton, CO
LPL Financial
James Lunney is a financial advisor with LPL Financial in Littleton, CO, holding Series 63 and Series 65 credentials and bringing 44 years of industry experience. He has been with LPL Financial since 1995. Lunney also writes and sells a compliance-approved monthly update letter. 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 brokerage services, utilizing model portfolios and research from multiple sources.
Mark T
Series 63, Series 65
Littleton, CO
LPL Financial
Mark Trevenna is a financial advisor with LPL Financial in Littleton, CO, holding Series 63 and Series 65 credentials and over 37 years of industry experience. He has been with LPL Financial and its predecessor firms since 1995. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations through a large national network. The firm offers a range of advisory programs, retirement plan consulting, and brokerage services, utilizing discretionary and non-discretionary management supported by research and model portfolios.
Bradley C
CFP®, Series 66
Littleton, CO
LPL Financial
Bradley Cooke is a CFP® professional affiliated with LPL Financial in Littleton, CO, with 13 years of industry experience. He has held positions at several firms, including Fisher Investments, Ameriprise, and Fidelity Investments. Cooke is also a for-profit board member of DUBL, an activity outside his advisory work. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad client base that includes individuals, retirement plans, banks, and corporations. The firm offers a range of advisory programs and retirement consulting services, employing both discretionary and non-discretionary management and utilizing research from various sources, including its own LPL Research.
Brittany J
Series 66
Littleton, CO
LPL Financial
Brittany Jarocki is a financial advisor with LPL Financial who holds the Series 66 designation and has nine years of industry experience. She worked at Level Four Wealth Management before joining LPL Financial in 2017. Outside of her advisory role, she is an author of a book titled *If You Give a Girl a Chardonnay* and is involved in entrepreneurial activities through Dubl Development, LLC. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad range of clients including individuals, retirement plans, and institutions, offering financial planning, advisory programs, and retirement plan consulting through a national network of investment adviser representatives.
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