Tustin, CA Plaza Dr Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
14772 Plaza Dr Ste 201
Tustin CA 92780-2798
Advisors at this office
3
Advisors at this office
Tammy M
Series 66
Tustin, CA
LPL Financial
Tammy Macarthur is a Series 66 licensed financial advisor with six years of industry experience, currently serving clients through LPL Financial since 2021. Her prior experience includes roles at Waddell & Reed Inc and Darci Kelley, alongside involvement with various insurance carriers. LPL Financial is a national broker-dealer and SEC-registered investment adviser offering advisory and brokerage services to individuals, retirement plans, banks, trust companies, and institutions. The firm provides financial planning, wrapped and model portfolio programs, third-party asset management access, and institutional platforms, supported by a large network of advisors and diverse operational tools.
Darci K
Series 66
Tustin, CA
LPL Financial
Darci Kelley is a financial advisor with LPL Financial, holding a Series 66 designation and bringing 27 years of industry experience. She has previously worked with Waddell & Reed, Inc. and various insurance carriers, and operated her own business, Darci Kelley Inc. Outside of her advisory role, she has managed a family insurance business. 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 third-party asset managers, supported by extensive operational and research tools.
Kristen M
Series 66
Tustin, CA
LPL Financial
Kristen Maxwell is a financial advisor with LPL Financial in Tustin, CA, holding a Series 66 credential and six years of industry experience. She has worked at LPL Financial since 2021 and previously held roles with Darci Kelley, Waddell & Reed Inc, and various insurance carriers. 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 advisory and brokerage services through a large network of investment adviser representatives, providing access to financial planning, model portfolios, third-party asset management, and institutional platforms.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)