Purchase, NY Westchester Ave 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
3010 Westchester Ave Ste 200
Purchase NY 10577
Advisors at this office
7
Advisors at this office
Marc S
Series 63, Series 65, Series 66
Purchase, NY
LPL Financial
Marc Stein is a financial advisor with LPL Financial in Purchase, NY, holding Series 63, 65, and 66 credentials and over 23 years of industry experience. Prior to joining LPL Financial in 2019, he worked at Cetera Advisor Networks and NORTH RIDGE SECURITIES CORP. He is involved in health insurance services for small businesses through WC Hoover and Co., where he provides non-variable insurance products. 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 broad range of financial planning and investment management services, leveraging model portfolios, third-party subadvisors, and customized strategies, supported by advanced operational and research tools.
Jeffry R
ChFC®, Series 63, Series 65
Purchase, NY
LPL Financial
Jeffry Rosen is a ChFC®-designated financial advisor with 41 years of industry experience, currently affiliated with LPL Financial. His prior experience includes roles at OSAIC, American Portfolios Financial Services, Guardian Life Insurance Company, and Berkshire Life Insurance Company. LPL Financial is a national broker-dealer and SEC-registered investment adviser that offers advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and institutions. The firm provides a range of investment strategies and operational support tools through a large network of advisors.
Joseph P
Series 63, Series 65
Purchase, NY
LPL Financial
Joseph Praino is a financial advisor at LPL Financial with 33 years of industry experience. His prior work includes roles at HSBC Bank USA, N.A., HSBC Securities (USA) Inc., and Chase Investment Services Corp. He holds Series 63 and Series 65 licenses. 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 range of advisory and brokerage services, including financial planning, model portfolio programs, third-party asset management, and institutional platforms.
Michael W
CFP®, Series 66, Series 65
Purchase, NY
LPL Financial
Michael Wolff is a CFP® professional affiliated with LPL Financial, bringing 20 years of industry experience. His prior work includes 11 years at Oppenheimer and a brief period with HSBC Securities (USA) Inc. 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, supported by proprietary tools and a large network of investment adviser representatives.
William H
Series 63, Series 65
Purchase, NY
LPL Financial
William Hyman is a financial advisor with LPL Financial in Purchase, NY, holding Series 63 and Series 65 licenses and bringing 41 years of industry experience. He previously spent 10 years with Citi Personal Wealth Management before joining LPL Financial in 2019. 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, model portfolios, third-party asset management, and institutional platforms.
Andrew W
Series 63, Series 65
Purchase, NY
LPL Financial
Andrew Wolff is a financial advisor with LPL Financial, holding Series 63 and Series 65 licenses and possessing 34 years of industry experience. He worked at Oppenheimer & Co for 16 years before joining LPL Financial in 2025. 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 other institutions. The firm offers a range of financial planning and investment management solutions, utilizing model portfolios, third-party subadvisors, and customized strategies across various asset classes.
Jerry G
Series 63, Series 65
Purchase, NY
LPL Financial
Jerry Giordano is a financial advisor with LPL Financial, holding Series 63 and Series 65 licenses and bringing 25 years of industry experience. His prior roles include positions at HSBC Bank USA, HSBC Securities (USA) Inc., and Chase Investment Services Corp. Giordano is involved with KM Capital Group Inc., an entity related to his LPL business, and conducts non-variable insurance 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 offers financial planning, model portfolio programs, third-party asset management, and institutional platforms, supporting advisors with research and operational tools.
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