Mint Hill, NC Mint Hill Village Lane 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
4520 Mint Hill Village Lane, Suite 105
Mint Hill NC 28227
Advisors at this office
3
Advisors at this office
Andrew W
CFP®, Series 63
Mint Hill, NC
LPL Financial
Andrew Wood Jr. is a CFP® professional affiliated with LPL Financial, with 39 years of experience in the financial services industry. He previously worked for Cambridge Investment Research Advisors and Cambridge Investment Research, Inc. for a decade before joining LPL Financial in 2023. His other business activities include non-variable insurance services. 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 advisory programs, financial planning, and retirement plan consulting, utilizing model portfolios, research, and technology-driven strategies.
Stephanie B
Series 66
Mint Hill, NC
LPL Financial
Stephanie Bailey is a financial advisor with LPL Financial, holding a Series 66 designation and 25 years of industry experience. She previously worked at Next Financial Group Inc for 19 years before joining LPL Financial in 2025. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, institutions, and charitable organizations through a national network of representatives. The firm provides various advisory programs, financial planning, and retirement consulting, offering both discretionary and non-discretionary management supported by proprietary and third-party research.
Mitchell C
CFA®, Series 63
Mint Hill, NC
LPL Financial
Mitchell Comport is a financial advisor at LPL Financial with one year of industry experience. He holds the CFA® designation and a Series 63 license. His prior experience includes roles at Dimensional Fund Advisors, The Huntington National Bank, and KeyBank. 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, retirement plan consulting, and brokerage services with both discretionary and non-discretionary management options.
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