Scottsdale, AZ North Pima Road 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
15333 North Pima Road, Suite 305
Scottsdale AZ 85260
Advisors at this office
3
Advisors at this office
Jonathan O
Series 66
Scottsdale, AZ
LPL Financial
Jonathan Osterkamp is a financial advisor with LPL Financial in Scottsdale, Arizona, holding a Series 66 designation and 24 years of industry experience. He has been with LPL Financial since 2009 and previously worked at Ameriprise for three years. Outside of his advisory work, he established a single-member LLC for non-financial business transactions. 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 services including financial planning, model portfolios, and institutional platforms, supporting its advisors with tools such as machine learning for operational and research purposes.
Brian S
Series 63, Series 66
Scottsdale, AZ
LPL Financial
Brian Smith is a financial advisor with LPL Financial in Scottsdale, AZ, holding Series 63 and Series 66 designations and bringing 20 years of industry experience. His prior roles include positions at J.P. Morgan Securities and Chase Investment Services Corp. In addition to his advisory work, he is also an insurance agent at an exclusive brokerage. LPL Financial is a national broker-dealer and SEC-registered investment adviser that serves individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory services including financial planning, model portfolios, third-party asset management access, and institutional platforms, supported by technology tools for research and operations.
William P
Series 63, Series 66
Scottsdale, AZ
LPL Financial
William Puplava is a financial advisor with LPL Financial in Scottsdale, AZ, holding Series 63 and Series 66 licenses and bringing 36 years of industry experience. His prior roles include positions at Puplava Financial Services, Puplava Securities, and Linsco/Private Ledger. He also serves as trustee for the William T. Puplava Family Trust. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plans, banks, trust companies, and institutions, offering a range of advisory and brokerage services supported by both proprietary and third-party investment strategies.
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