Memphis, TN N Germantown Pkwy Office

Team
Updated today
LPL Financial logo

LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

22,761

Across 10,463 offices

Clients per advisor

86 Typical

Avg AUM per client

$399,489 Typical

HNW client ratio

34% Very High

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

Expertise

College savings (529s, UTMA, etc.)

Based on LPL Financial

Location

2750 N Germantown Pkwy

Memphis TN 38133

Advisors at this office

8

Advisors at this office

user avatar

Melanie C

Series 63

Memphis, TN

LPL Financial

Melanie Compton is a financial advisor at LPL Financial with 39 years of industry experience. She holds a Series 63 designation and has worked with firms including FTB Advisors, Inc., First Tennessee Brokerage, Inc., Commerce Investment Corporation, and National Bank of Commerce. LPL Financial is an 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, financial planning, and brokerage services supported by research, model portfolios, and technology-driven solutions.

College savings (529s, UTMA, etc.)
user avatar

John W

Series 65, Series 63

Memphis, TN

LPL Financial

John Weeden is a financial advisor at LPL Financial in Memphis, TN, with seven years of industry experience. He holds Series 65 and Series 63 credentials and has worked at several firms including FTB Advisors and Lion Street Financial. Prior to entering the financial sector, he spent four years with Shelby County Schools. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad client base that includes individuals, retirement plans, banks, corporations, and charitable organizations. The firm offers a range of advisory programs and financial planning services, utilizing model portfolios and research from various sources, and provides both discretionary and non-discretionary management options.

College savings (529s, UTMA, etc.)
user avatar

Thomas L

Series 66

Memphis, TN

LPL Financial

Thomas Lambert is a financial advisor at LPL Financial in Memphis, TN, holding a Series 66 designation. He joined LPL Financial in 2025 and has prior experience at First Horizon Bank, Morgan Stanley, and the University of Tennessee, Knoxville. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations through a national network of investment adviser representatives, offering financial planning, advisory programs, and retirement consulting.

College savings (529s, UTMA, etc.)
user avatar

Richard C

Series 63, Series 66

Memphis, TN

LPL Financial

Richard Coleman is a financial advisor at LPL Financial with 41 years of industry experience. He holds Series 63 and Series 66 designations and has worked previously at FTB Advisors, Inc. and First Tennessee Brokerage. Coleman is based in Memphis, TN. LPL Financial is an 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, utilizing both discretionary and non-discretionary management supported by extensive research and technology tools.

College savings (529s, UTMA, etc.)
user avatar

Christopher B

Series 65, Series 63

Memphis, TN

LPL Financial

Christopher Butler is a financial advisor at LPL Financial with 14 years of industry experience. He holds Series 65 and Series 63 licenses and previously worked at First Tennessee Brokerage, Inc. for over a decade. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad client base that includes individuals, retirement plans, financial institutions, and charitable organizations. The firm offers a range of advisory programs, retirement plan consulting, brokerage services, and access to model portfolios and research from multiple sources.

College savings (529s, UTMA, etc.)
user avatar

Keaton W

Series 63, Series 66

Memphis, TN

LPL Financial

Keaton Williams is a financial advisor with LPL Financial in Memphis, TN, holding Series 63 and Series 66 licenses and possessing 13 years of industry experience. He has also worked with FTB Advisors, Inc. for over ten years. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, and charitable organizations through a nationwide network of investment adviser representatives. The firm offers a broad range of advisory programs, financial planning services, and retirement plan consulting, utilizing both discretionary and non-discretionary management supported by research and model portfolios.

College savings (529s, UTMA, etc.)
user avatar

Pete A

Series 66

Memphis, TN

LPL Financial

Pete Abston is a Series 66-licensed financial advisor with LPL Financial in Memphis, TN, holding seven years of industry experience. He has worked at First Tennessee Bank since 2018 and spent time at Lausanne Collegiate School and the University of Alabama prior to his current role. Outside of his advisory work, Pete is involved in Twitch streaming as a caster and commentator. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations nationwide. The firm provides financial planning, advisory programs, and retirement consulting, offering discretionary and non-discretionary management supported by research and multiple investment strategies.

College savings (529s, UTMA, etc.)
user avatar

Daniel B

Series 63

Memphis, TN

LPL Financial

Daniel Botto is a financial advisor at LPL Financial with 27 years of industry experience. He holds a Series 63 designation and has worked at First Tennessee Brokerage, Inc. since 1999 and Ftb Advisors, Inc. since 2013. Botto is also a business owner of LBOE Inc. and RF Holdings Inc., both investment-related entities. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations. The firm offers a broad range of advisory programs, financial planning, and brokerage services supported by model portfolios, third-party research, and technological tools.

College savings (529s, UTMA, etc.)
View complete list of advisors at this office
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