Littleton, CO Office

Team
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LPL Financial logo

LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

22,816

Across 10,466 offices

Clients per advisor

86 Typical

Avg AUM per client

$399,489 Typical

HNW client ratio

34% Very High

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

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities

Based on LPL Financial

Occupation focus

Retired Founder/Business Owner Executive

Based on LPL Financial

Location

Littleton CO

Advisors at this office

11

Advisors at this office

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Jeffrey W

Series 63, Series 66

Littleton, CO

LPL Financial

Jeffrey Wren is a financial advisor with LPL Financial in Littleton, CO, holding Series 63 and Series 66 licenses and having 37 years of industry experience. His prior roles include positions at Trilogy Capital, Trilogy Financial Services, and National Planning Corporation. He also operates an independent business entity for tax and investment purposes. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of financial planning and portfolio management solutions supported by a large network of investment adviser representatives.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Gordon B

Series 63, Series 65

Littleton, CO

LPL Financial

Gordon Bauer is a financial advisor with LPL Financial in Littleton, Colorado, holding Series 63 and Series 65 designations and over 43 years of industry experience. He has been with Linsco/Private Ledger Corp., now part of LPL Financial, since 2000. Outside of his advisory work, he is active as a concert pianist and piano instructor. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers a range of advisory services including financial planning, model portfolios, third-party asset management, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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James A

Series 63, Series 66

Littleton, CO

LPL Financial

James Abernethy is a financial advisor with LPL Financial in Littleton, Colorado. He holds Series 63 and Series 66 registrations and has 37 years of industry experience. His prior work includes two separate tenures at LPL Financial, totaling 16 years, and five years at Investment Centers of America. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. It offers a range of advisory and brokerage services through a network of investment adviser representatives, utilizing various investment strategies and operational tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Aspen S

Series 63, Series 65

Littleton, CO

LPL Financial

Aspen Spratt is a financial advisor with LPL Financial in Littleton, CO, holding Series 63 and Series 65 licenses and 14 years of industry experience. Prior to joining LPL Financial, Aspen was involved with several firms including Transamerica Financial Advisors and World Financial Group. Aspen also owns a business entity called Be Intrepid, Live Your Dream, LLC. 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 services including financial planning, model portfolio programs, third-party asset management, and institutional platforms, supported by a broad advisor network and diverse non-advisory financial activities.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Kimberly K

Series 63, Series 65

Littleton, CO

LPL Financial

Kimberly Kennedy is a financial advisor at LPL Financial with 22 years of industry experience. She holds Series 63 and Series 65 licenses and has worked at Alliant Credit Union since 2017, concurrently with her role at LPL Financial. Prior to that, she spent five years each at Presidential Brokerage, Inc. and Valic Financial Advisors. 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 a broad range of advisory and brokerage services, including financial planning and access to model portfolios and third-party asset managers.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Michael G

CFP®, Series 63

Littleton, CO

LPL Financial

Michael Guyerson is a CFP®-credentialed financial advisor with LPL Financial who has 31 years of industry experience, including 27 years with LPL. He also operates a legal services business through Michael J. Guyerson, LLC, providing legal work for non-LPL clients. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers a broad range of advisory and brokerage services, utilizing research model portfolios, third-party subadvisors, and customized strategies across various asset classes.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Emily H

Series 66

Littleton, CO

LPL Financial

Emily Harris is a financial advisor with LPL Financial, holding the Series 66 designation and bringing 18 years of industry experience. Her career includes over two decades at Capital Resource Group, followed by roles at Summit Financial Group and Securities America Advisors before joining LPL Financial in 2018. She is also a notary public in Littleton, Colorado. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers a range of financial planning, portfolio management, and institutional services supported by technology and a broad network of over 22,800 advisors.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Lisa R

Series 63, Series 65

Littleton, CO

LPL Financial

Lisa Rizzo is a financial advisor with LPL Financial, holding Series 63 and Series 65 licenses and over 40 years of industry experience. Prior to joining LPL Financial in 2022, she worked at First Financial Equity Corporation, UBS Financial Services, Piper Sandler & Co., and RBC Capital Markets. Outside of her advisory role, she is involved in a non-variable insurance business and maintains a business entity for tax and investment purposes unrelated to her advisory work. 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, third-party asset management, and institutional platforms, supported by a network of over 22,800 advisors and extensive operational tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Jeffrey N

Series 63, Series 65

Littleton, CO

LPL Financial

Jeffrey Newell is a financial advisor with LPL Financial, holding Series 63 and Series 65 licenses and bringing 30 years of industry experience. His prior roles include positions at Raymond James & Associates for 16 years and UBS Financial Services for 7 years. He operates under the DBA Newell Money Management for his LPL business. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers financial planning, model portfolios, third-party asset management, and institutional platforms, with a broad range of advisory and brokerage services backed by extensive operational and research tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Amy H

Series 63, Series 65

Littleton, CO

LPL Financial

Amy Hawkins is a financial advisor at LPL Financial with 29 years of industry experience. She holds Series 63 and Series 65 designations and has worked at firms including UBS Financial Services, Piper Sandler & Co., and Thrivent Financial. 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 financial planning and investment management services, utilizing both proprietary and third-party strategies across advisory and brokerage platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Kristi Z

Series 63, Series 65

Littleton, CO

LPL Financial

Kristi Zakrzewski is a financial advisor with LPL Financial in Littleton, CO, holding Series 63 and Series 65 licenses and bringing 35 years of industry experience. She has worked at Linsco/Private Ledger Corp. since 1999. Outside of finance, she operates a floral design business. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolios, third-party asset management, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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