Sacramento, CA Capitol Mall Office

Team
Updated today
LPL Financial logo

LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

22,761

Across 10,460 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

500 Capitol Mall, Suite 1200

Sacramento CA 95814

Advisors at this office

5

Advisors at this office

user avatar

Nicholas F

Series 63, Series 65

Sacramento, CA

LPL Financial

Nicholas Fiorito is a financial advisor with LPL Financial based in Sacramento, CA, holding Series 63 and Series 65 licenses and 12 years of industry experience. His prior work includes roles at J.P. Morgan Securities, JPMorgan Chase Bank, U.S. Bank N.A., and HSBC Securities. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a large network of investment adviser representatives. The firm offers a range of advisory programs, retirement plan consulting, and brokerage services, with access to model portfolios, research, and various management strategies.

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

Di D

Series 63, Series 65

Sacramento, CA

LPL Financial

Di Dong is a financial advisor with LPL Financial in Sacramento, CA, holding Series 63 and Series 65 credentials and bringing 24 years of industry experience. His prior experience includes roles at Bank of the West and BancWest Investment Services, where he worked for a decade. 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 provides a range of financial planning and advisory services, including discretionary and non-discretionary management, model portfolios, and retirement plan consulting.

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

Sean M

Series 66, Series 65

Sacramento, CA

LPL Financial

Sean Mullin is a financial advisor with LPL Financial in Sacramento, CA, holding Series 65 and Series 66 credentials and bringing 28 years of industry experience. Prior to joining LPL Financial in 2023, he worked at BMO Bank NA since 2016 and BancWest Investment Services from 2016 to 2023. Outside of his advisory role, he is associated with a family business entity used for tax and investment purposes. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a large network of investment adviser representatives. The firm offers a range of advisory programs, financial planning, and brokerage services, using both discretionary and non-discretionary management supported by internal and third-party research.

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

Guy L

Series 63, Series 65, Series 66

Sacramento, CA

LPL Financial

Guy Lamb is a financial advisor at LPL Financial with 20 years of industry experience. He holds Series 63, Series 65, and Series 66 licenses. His prior experience includes roles at BMO Bank NA, Mariner Wealth Advisors, Fifth Third Wealth Advisors LLC, and Wells Fargo. 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 retirement plan consulting through a national network of investment adviser representatives.

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

Nickolas G

Series 66

Sacramento, CA

LPL Financial

Nickolas Gould is a financial advisor with LPL Financial based in Sacramento, CA, holding a Series 66 designation and 19 years of industry experience. His career includes roles at California Bank & Trust, Wells Fargo Clearing, Wells Fargo Advisors LLC, and Wells Fargo Bank. Outside of his advisory work, he engages in online sales. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individual and institutional clients nationwide. The firm offers financial planning, advisory programs, retirement plan consulting, and brokerage services with discretionary and non-discretionary management options, leveraging model portfolios and research from multiple sources.

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