Waterford, WI 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
Waterford WI
Advisors at this office
3
Advisors at this office
Patricia L
CFP®, Series 66
Waterford, WI
LPL Financial
Patricia Loris is a financial advisor with LPL Financial based in Waterford, WI, holding CFP® and Series 66 credentials and bringing 24 years of industry experience. Her prior roles include positions at Securities America Advisors and Securian Financial Services. 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 services including financial planning, model portfolio programs, third-party asset management access, and institutional platforms, supporting advisors with research and technology tools.
Aaron S
CFP®, Series 66
Waterford, WI
LPL Financial
Aaron Spitzner is a financial advisor with LPL Financial in Waterford, WI, holding the CFP® designation and Series 66 license. He has 14 years of industry experience, having worked at several firms including Creative Planning, LLC and Raymond James Financial Services. 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 through a large network of investment adviser representatives, utilizing various portfolio programs and technology tools while overseeing substantial discretionary assets.
Todd S
CFP®, Series 63, Series 65
Waterford, WI
LPL Financial
Todd Sprecher is a CFP® credentialed financial advisor with 30 years of industry experience. He is currently with LPL Financial and has previously worked at firms including BMO Harris Financial Advisors, Chase Investment Services Corp., and Banc One Securities Corporation. Sprecher also has ongoing roles with M&I Trust, M&I Insurance Services, and M&I Brokerage Services. LPL Financial is a national broker-dealer and SEC-registered investment adviser that serves 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, with advice implemented through various strategies and supported by proprietary research and technology tools.
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