Tucson, AZ Office

Team
Updated today
LPL Financial logo

LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

22,842

Across 10,470 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

Tucson AZ

Advisors at this office

15

Advisors at this office

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Raymond W

Series 63, Series 66

Tucson, AZ

LPL Financial

Raymond Weigand is a financial advisor with LPL Financial in Tucson, AZ, holding Series 63 and Series 66 credentials and 28 years of industry experience. He has worked at LPL Financial since 2009 and previously at Banc of America Investment Services from 2007 to 2009. He also has a business entity for tax and investment purposes named Raymond Weigand, PLLC. LPL Financial is a national broker-dealer and SEC-registered investment adviser offering advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and institutions. The firm provides financial planning, model portfolio programs, third-party asset management, and institutional platforms, with advice delivered through a network of investment adviser representatives who utilize various investment strategies and technologies.

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

Series 66

Tucson, AZ

LPL Financial

Denielle Palting is a financial advisor with LPL Financial, holding a Series 66 designation and 14 years of industry experience. She has been with LPL Financial since 2012. In addition to her advisory role, she is an author and operates a business entity for tax and investment purposes. 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, 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
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Karen J

Series 66

Tucson, AZ

LPL Financial

Karen Jacome is a financial advisor with LPL Financial in Tucson, AZ, holding a Series 66 designation and six years of industry experience. She previously worked at Bancwest Investment Services, Inc. for four years and has been with Bank of the West since 2014. 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 large network of more than 22,800 advisors.

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

Series 63, Series 65, Series 66

Tucson, AZ

LPL Financial

Anne Ramirez is a financial advisor at LPL Financial with 27 years of industry experience. She holds Series 63, Series 65, and Series 66 designations. Her prior experience includes roles at First Allied Advisory Services, Securities America Advisors, Brecek & Young Advisors, and Ameriprise. 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 investment adviser representatives. The firm offers a range of financial planning and investment management solutions, utilizing both proprietary and third-party model portfolios, supported by advanced operational and research tools.

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

Series 63, Series 65

Tucson, AZ

LPL Financial

Debora Wood is a financial advisor with LPL Financial based in Tucson, AZ, holding Series 63 and Series 65 credentials, and has 32 years of industry experience. She has worked at LPL Financial since 2009 and previously held positions at Morgan Stanley & Co. LLC and Morgan Stanley DW Inc. Wood also manages a single-family home real estate rental. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides advisory and brokerage services through a large network of representatives to individual and institutional clients. The firm offers a range of financial planning and investment management solutions, with support from advanced technology and a broad spectrum of financial services beyond advisory activities.

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

Series 63, Series 65

Tucson, AZ

LPL Financial

Barry Davis is a financial advisor with LPL Financial in Tucson, AZ, holding Series 63 and Series 65 designations and with 45 years of industry experience. He has worked at Linsco Private Ledger Corp since 2007 and previously at Ferguson Investment Services PLLC from 2005 to 2007. Davis is also associated with Grayson Associates LLC. 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 wide range of advisory and brokerage services including financial planning, model portfolio programs, 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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Susan H

Series 63, Series 66

Tuscon, AZ

LPL Financial

Susan Hancock is a financial advisor with LPL Financial in Tucson, AZ, holding Series 63 and Series 66 licenses and bringing 20 years of industry experience. Her prior roles include positions at Investment Centers of America and Bancwest Investment Services, Inc. Outside of her advisory work, Hancock is president of Dairy Cream, an ice cream business, and Hancock Property Investments, a real estate company. 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 asset management services delivered through a large network of investment adviser representatives using both proprietary and third-party strategies.

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

Series 63, Series 65

Tucson, AZ

LPL Financial

Linda Mozzone is a financial advisor with LPL Financial in Tucson, AZ, holding Series 63 and Series 65 credentials and bringing 40 years of industry experience. She has worked at LPL Financial since 2009 and previously at Wells Fargo Clearing and A. G. Edwards & Sons, Inc. Outside of her advisory role, she volunteers as an ambassador and participant in clinical trials related to treatments for X-linked hypophosphatemic rickets. 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 wide range of financial planning and portfolio management solutions, leveraging model portfolios, third-party subadvisors, and customized strategies, supported by research and advisor tools.

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

Series 66

Tucson, AZ

LPL Financial

Michael Bennett is a Series 66-licensed financial advisor with nine years of industry experience, currently affiliated with LPL Financial in Tucson, AZ. His prior roles include positions at Parker Hannifin Corporation, Waddell & Reed, and BD Medical. Bennett operates under the names Wasatch Front Wealth Advisors and Western Front Wealth Advisors as part of his LPL business. 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. The firm offers a range of financial planning and portfolio management options, supported by both proprietary model portfolios and third-party subadvisors.

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

Series 63, Series 65

Tucson, AZ

LPL Financial

James Allen III is a financial advisor at LPL Financial with 32 years of industry experience. He holds Series 63 and Series 65 licenses and has been with LPL Financial since 2009, following prior roles at Cue Financial Group and PFG Advisors. Outside of his advisory work, Allen officiates high school baseball games. 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, model portfolios, third-party asset management access, and institutional platforms, supporting strategies that incorporate both discretionary and non-discretionary options.

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

Series 66

Tucson, AZ

LPL Financial

Katherine Bennen is a financial advisor at LPL Financial with 22 years of industry experience and holds the Series 66 credential. Her prior roles include positions at Bjork Financial, Birch Cove Group Ltd., Raymond James Financial Services, and Wells Fargo. In addition to her advisory work, she is involved with Golden Ginkgo Signature Travel, a travel agency based in San Diego. 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 provides a range of advisory and brokerage services through its network of investment adviser representatives, offering customizable portfolios and access to third-party asset managers.

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

CFP®, Series 63, Series 66

Tucson, AZ

LPL Financial

Mark Dragoslovich is a CFP® professional with 12 years of industry experience, currently advising at LPL Financial. His prior roles include positions at Wells Fargo Advisors and Northern Trust Securities. He is also a licensed notary and operates a separate business entity, Dragonomics LLC. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides a broad range of advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers various investment solutions including financial planning, model portfolio programs, and institutional platforms, supported by advanced operational and research tools.

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

CFP®, Series 63

Tucson, AZ

LPL Financial

Charles Maxim is a CFP®-credentialed financial advisor with 32 years of industry experience, currently affiliated with LPL Financial since 2001. He holds the Series 63 designation and operates out of Tucson, AZ. His other activities include assisting with tax preparation and managing accounting and payroll communications for a family LLC. 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 investment and advisory services, including financial planning, model portfolio programs, 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
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Michael C

Series 63, Series 65

Tucson, AZ

LPL Financial

Michael Carley is a financial advisor at LPL Financial with 27 years of industry experience. He holds the Series 63 and Series 65 designations and has been with LPL Financial since 2009. 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 services including financial planning, model portfolio programs, third-party asset management, and institutional platforms, supported by a network of over 22,800 advisors and oversight of more than $819 billion in discretionary assets.

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

Series 63, Series 65

Tucson, AZ

LPL Financial

Daniel Strauss is a financial advisor with LPL Financial in Tucson, AZ, holding Series 63 and Series 65 licenses and bringing 39 years of industry experience. He has worked at LPL Financial since 2013 and previously spent 13 years with National Planning Corporation. 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, model portfolio programs, and institutional platforms, supported by a large network of advisors and advanced operational tools.

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