San Francisco, CA 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
San Francisco CA
Advisors at this office
7
Advisors at this office
Xu W
CFP®, Series 66
San Francisco, CA
LPL Financial
Xu Wang is a CFP® professional with 19 years of industry experience, currently affiliated with LPL Financial since 2013. His prior experience includes roles at Wells Fargo Clearing, Edward Jones, and Banc of America Investment Services. Wang also operates Wang Wealth Advisors LLC as a separate business activity. 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 portfolios, third-party asset management, and institutional platforms, supported by a network of over 22,800 advisors and significant operational resources.
Danielle L
Series 63, Series 65
San Francisco, CA
LPL Financial
Danielle Lyons is a financial advisor with LPL Financial based in San Francisco, CA, holding Series 63 and Series 65 registrations and 30 years of industry experience. She has worked at firms including JPMorgan Chase Bank, Credit Suisse Securities, and Merrill prior to her current role. Lyons is also involved with Navesink Wealth Management, an investment-related business affiliated with her LPL practice. LPL Financial is a national broker-dealer and SEC-registered investment adviser that serves individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services, utilizing model portfolios, third-party subadvisors, and customized strategies supported by advanced tools and technology.
Dennis Q
Series 63, Series 65
San Francisco, CA
LPL Financial
Dennis Quan is a financial advisor with LPL Financial, holding Series 63 and Series 65 credentials and 29 years of industry experience. His work history includes roles at Bank of the West, BancWest Investment Services, U.S. Bancorp Investments, Wells Fargo Clearing, Merrill, and Morgan Stanley Dw Inc. since 1998. 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, and institutional platforms, supported by extensive technology and operational tools.
Chiu Ni W
CFP®, Series 63, Series 66
San Francisco, CA
LPL Financial
Chiu Ni Wang is a CFP®-designated financial advisor with 32 years of industry experience. Wang is currently with LPL Financial since 2025, having previously worked there from 2005 to 2015, and has also been with Western International Securities, Inc. since 2015. In addition to advisory services, Wang is involved in accident, health, life, and variable insurance activities. 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 financial planning and investment management solutions, including advisory and brokerage services through a large network of advisers utilizing various strategies and third-party asset management options.
John Jr. E
Series 66
San Francisco, CA
LPL Financial
John Jr. Ellis Jr. is a financial advisor with LPL Financial in San Francisco, CA, holding a Series 66 designation and eight years of industry experience. His prior roles include positions at Lucia Capital Group and Currency Capital. 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 services through a large network of advisors, utilizing both proprietary and third-party strategies across various asset classes.
Daniel D
CFP®, Series 63, Series 65
San Francisco, CA
LPL Financial
Daniel Dhillon is a CFP®-designated financial advisor with LPL Financial, based in San Francisco, CA, and has 20 years of industry experience. His prior roles include positions at BMO Harris Bank, Golden1 Investment Services, Fidelity Brokerage Services, BancWest Investment Services, Bank of the West, Valic Financial Advisors, Chase Investment Services, and Wamu Investments. 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 portfolios, third-party asset management, and institutional platforms, utilizing various investment strategies and advisor support tools.
Christopher M
Series 66
San Francisco, CA
LPL Financial
Christopher Malmborg is a financial advisor with LPL Financial, holding a Series 66 designation and one year of industry experience. Before joining LPL Financial, he worked at several companies including ChirpShop and Sony Music Publishing. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions through a large network of advisors. The firm offers a range of financial planning and investment management solutions, utilizing both proprietary and third-party strategies.
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