Winston Salem, NC Westbrook Plaza Drive 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
1691 Westbrook Plaza Drive
Winston Salem NC 27103
Advisors at this office
4
Advisors at this office
Ralph M
Series 63, Series 65
Winston-Salem, NC
LPL Financial
Ralph Miller is a financial advisor with LPL Financial and holds Series 63 and Series 65 credentials. He has 35 years of industry experience, including significant tenures at Allegacy Federal Credit Union and Cuso Financial Services. Miller operates in Winston-Salem, NC, and is involved with Allegacy Investment Group as a related business activity. LPL Financial is a national SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and nonprofits. The firm offers a range of advisory programs, financial planning, and retirement consulting, utilizing both discretionary and non-discretionary management along with model portfolios and research from multiple sources.
Daniel B
Series 66
Winston-Salem, NC
LPL Financial
Daniel Bernabe is a financial advisor with LPL Financial in Winston-Salem, NC, holding a Series 66 designation and over 21 years of industry experience. He has worked with Allegacy Federal Credit Union and Cuso Financial Services, LP since 2011. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations nationwide. The firm provides a range of financial planning and advisory programs, including discretionary and non-discretionary management supported by research and model portfolios.
Matthew B
Series 63, Series 65
Winston-Salem, NC
LPL Financial
Matthew Brown is a financial advisor with LPL Financial in Winston-Salem, NC, holding Series 63 and Series 65 licenses and bringing 12 years of industry experience. His career includes roles at Nationwide Investment Services Corporation, Park Avenue Securities, GUARDIAN LIFE INSURANCE CO of AMERICA, and Stratford Advisors, Inc. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of advisory programs and financial planning services, utilizing both discretionary and non-discretionary management approaches supported by in-house and third-party research.
Anthony M
Series 66, Series 63
Winston-Salem, NC
LPL Financial
Anthony Mason is a financial advisor with LPL Financial in Winston-Salem, NC, holding Series 66 and Series 63 licenses and bringing 17 years of industry experience. His prior roles include positions at SCOTTRADE, TD Ameritrade, and self-employment in financial services. LPL Financial is a national investment adviser and broker-dealer serving a broad client base including individuals, retirement plans, banks, and charitable organizations. The firm offers a range of advisory programs, financial planning, and brokerage services, utilizing both discretionary and non-discretionary management supported by research and various portfolio strategies.
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