Santa Fe, NM Office

Team
Updated today
LPL Financial logo

LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

22,817

Across 10,462 offices

Clients per advisor

86 Typical

Avg AUM per client

$399,489 Typical

HNW client ratio

34% Very High

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

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities

Based on LPL Financial

Occupation focus

Retired Founder/Business Owner Executive

Based on LPL Financial

Location

Santa Fe NM

Advisors at this office

8

Advisors at this office

user avatar

Jessica B

CFP®, ChFC®, Series 63, Series 65

Santa Fe, NM

LPL Financial

Jessica Bicoll is a financial advisor with LPL Financial in Santa Fe, NM, holding CFP® and ChFC® designations and possessing 26 years of industry experience. She previously worked at Valic Financial Advisors and Merrill before joining LPL Financial in 2012. Outside of her advisory role, she contributes approximately 10 hours per month to Ute 66 Live, a non-investment related activity. 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, third-party asset management, and institutional platforms, supported by research and technology tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Marcus S

Series 66

Santa Fe, NM

LPL Financial

Marcus Seabock is a financial advisor with LPL Financial in Santa Fe, NM, holding a Series 66 designation and 27 years of industry experience. He has been with LPL Financial since 2009 and previously worked at Morgan Stanley and its affiliated entities from 2000 to 2009. 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, third-party asset management, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Keren J

Series 63, Series 65

Santa Fe, NM

LPL Financial

Keren James is a financial advisor with LPL Financial in Santa Fe, NM, holding Series 63 and Series 65 licenses and seven years of industry experience. She previously worked at Hightower Advisors, LLC, The Rikoon Group, and Gerald Peters Gallery. 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 and access to model portfolio programs, and supports advisors with research and operational tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Matthew H

Series 66

Sante Fe, NM

LPL Financial

Matthew Houston is a financial advisor at LPL Financial with 22 years of industry experience. He holds the Series 66 designation and has previously worked at firms including Wedbush Securities, B. Riley Wealth Management, Hilltop Securities, Citigroup Global Markets, and Legg Mason Wood Walker. Houston is also associated with Skyward Financial LLC, an entity related to his work with LPL. 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 extensive operational tools and a large network of advisors.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Cari A

Series 66

Santa Fe, NM

LPL Financial

Cari Anderson is a financial advisor at LPL Financial with five years of industry experience. She holds the Series 66 designation and has prior experience at Prudential Insurance Company of America and Liberty National. Outside of advising, Anderson works as a writer. 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 and access to third-party asset management, employing various investment strategies and technology tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Lisa M

CFP®, Series 63, Series 65

Sante Fe, NM

LPL Financial

Lisa Marcelli is a CFP® professional with 37 years of experience in the financial industry. She is currently with LPL Financial and has previously worked at Wedbush Securities, B. Riley Wealth Advisors, Sanders Morris LLC, SMH Capital Advisors, and Banc One Securities Corporation. 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 through a large network of investment adviser representatives. The firm offers a variety of investment solutions including financial planning, model portfolios, third-party asset management, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Jay M

Series 63, Series 65

Santa Fe, NM

LPL Financial

Jay Mathis is a financial advisor with LPL Financial in Santa Fe, NM, holding Series 63 and Series 65 credentials and bringing 43 years of industry experience. His career includes previous roles at Momentum and Raymond James & Associates. Outside of advising, he provides labor services at El Sueno Bed and Breakfast, a small hospitality business in New Mexico. 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 variety of advisory and brokerage services, including financial planning and institutional platforms, supported by a large network of investment adviser representatives.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Raymond P

Series 63, Series 65

Santa Fe, NM

LPL Financial

Raymond Padilla is a financial advisor at LPL Financial with 39 years of industry experience. He holds Series 63 and Series 65 licenses and has a background that includes work with various insurance carriers and Waddell & Reed, Inc. Since 1975, he has also operated an income tax preparation service in Santa Fe, NM. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions through a broad network of advisers offering financial planning, model portfolios, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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