Tucson, AZ E Speedway Blvd Office
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LPL Financial
Institution
Firm-wide stats for LPL Financial
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
Location
2030 E Speedway Blvd Ste 220
Tucson AZ 85719
Advisors at this office
5
Advisors at this office
Joanna W
Series 66
Tucson, AZ
LPL Financial
Joanna Westcott is a financial advisor with LPL Financial in Tucson, AZ, holding a Series 66 designation and 22 years of industry experience. She has been with LPL Financial since 2003. Outside of her advisory role, she is involved with Event Driven Media Partners, a media and public relations LLC, and serves as an insurance agent for Senior Healthcare Partnerships, Inc. LPL Financial is an SEC-registered investment adviser and broker-dealer that serves a broad client base including individuals, retirement plans, banks, corporations, and charitable organizations. The firm offers a range of advisory programs, financial planning services, and both discretionary and non-discretionary portfolio management supported by LPL Research and third-party subadvisors.
William W
Series 63, Series 65
Tucson, AZ
LPL Financial
William Westcott is a financial advisor at LPL Financial with 41 years of industry experience. He holds Series 63 and Series 65 licenses and has been with LPL Financial in various capacities since 2003. Westcott serves as a board member of Potoff Private Philanthropy, a nonprofit organization. LPL Financial is an SEC-registered investment adviser and broker-dealer that serves a broad range of clients, including individuals, retirement plans, and institutions. The firm offers financial planning, advisory programs, and retirement consulting supported by research and technology-driven portfolio management.
Stephen H
ChFC®, Series 63, Series 65
Tucson, AZ
LPL Financial
Stephen Horvath is a financial advisor with LPL Financial in Tucson, AZ, holding the ChFC® designation and Series 63 and 65 licenses. He has 37 years of industry experience, including a decade at Cambridge Investment Research Advisors. Horvath is also the president and owner of Eruditius Wealth Advisors, Inc. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad client base including individuals, retirement plans, banks, and charitable organizations nationwide. The firm offers a variety of advisory programs and financial planning services, utilizing model portfolios and research from LPL Research and third-party subadvisors.
Brady D
Series 66
Tucson, AZ
LPL Financial
Brady Doe is a financial advisor at LPL Financial with 13 years of industry experience. He holds the Series 66 designation and previously worked at Przewlocki James, Inc. and Cambridge Investment Research, Inc. for 13 years before joining LPL Financial. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, institutions, and charitable organizations. The firm offers a range of advisory programs, financial planning, and consulting services, utilizing both discretionary and non-discretionary management supported by research and model portfolios.
David H
Series 63, Series 65
Tucson, AZ
LPL Financial
David Hermann is a financial advisor at LPL Financial with 11 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Ameriprise and MassMutual in various capacities. Outside of his advisory role, he is involved with Evexias Health Solutions in Tucson, AZ. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations. The firm offers a range of advisory programs and financial planning services, utilizing both discretionary and non-discretionary management supported by research and model portfolios.
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