VP – Regional Banking and Lending Consultant
About the job
- A bachelor's degree in Finance, Business Administration, or a related field.
- A Series 7 license or the ability to obtain one within 90 days.
- At least 10 years of experience within financial services, with strong knowledge of banking and lending products including securities-backed lending and margin.
- Proven experience driving adoption of banking and lending products in an advisor-led wealth management organization.
- Ability to build strong relationships with colleagues and Advisors.
- Ability to influence colleagues and Advisors to embrace new ideas and methods.
- Excellent verbal and written communication skills.
- Ability to deliver compelling presentations to small and large audiences in a variety of venues.
- Ability to solve problems and find creative solutions to meet Advisor and client needs.
- Commitment to owning the end-to-end resolution of issues.
- Ability to learn, assimilate, and communicate information effectively.
- Ability to tailor messages to diverse Advisor audiences with different business models.
- Willingness to travel as necessary to LPL sites and visit key partners.
- Ability to work in a fast-paced, dynamic environment with a focus on results.
- Serve as an expert on Secured Credit Account, margin, and banking solutions and drive awareness among Advisors and Advisor-facing LPL teams.
- Educate Advisors on integrating banking and lending capabilities into their practices to meet clients' financial needs and expand their businesses.
- Develop and disseminate best practices and sales enablement tools that help Advisors identify clients' banking and lending needs and select optimal solutions.
- Attend recruited Advisor HOVs and LPL conferences to market banking and lending solutions.
- Collaborate with the Advisor Transitions team to provide white-glove service to newly recruited Advisors and help transition their clients' loans to LPL.
- Collaborate with Advisors and their clients to develop tailored solutions for complex banking and lending needs.
- Represent the Advisor perspective and provide feedback and suggestions for continuous improvement to the Product Manager, Lending Solutions.
About the company
LPL Financial runs the largest independent broker-dealer network in the United States, providing a platform of services and support to financial advisors and institutions. It helps advisors manage client wealth by offering technology, research, clearing and compliance services, and practice management programs. Advisors access a flexible, non-proprietary environment where they can tailor financial recommendations for clients, with revenue coming from fees for services, securities commissions, and asset-based fees. The company supports more than 28,000 financial advisors and oversees over a trillion dollars in advisory and brokerage assets, distinguishing itself through its breadth of back-office capabilities, scalable platform, and emphasis on independence for its advisors. Its goal is to enable independent financial advisors to grow their businesses and deliver personalized investment solutions to their clients.
Company Size
10,001+
Company Stage
IPO
Headquarters
San Diego, California
Founded
1989
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Simplify's Take
What believers are saying
- August 2026 client assets reached $2.60 trillion, up $55.3 billion from July.
- September 2026 recruiting added Horizon, Northstar, and ClearHaven, bringing roughly $1.05 billion assets.
- Second-quarter 2026 net income rose 39% to $379 million, and buybacks resumed.
What critics are saying
- FINRA barred ex-LPL rep Rudy Anguiano on September 29, 2026 after $1.731 million theft.
- LPL's May 2026 amended Form U5 shows control failures that enabled client-fund diversion.
- Commonwealth onboarding in fourth quarter 2026 risks attrition, integration slippage, and profit disappointment.
What makes LPL Financial Holdings unique
- LPL dominated independent brokerage with 32,000 advisors and $2.6 trillion assets in August 2026.
- Its platform combines custody, compliance, practice management, and technology for independent advisors.
- The Commonwealth conversion and Mariner acquisition deepen scale across independent and hybrid channels.
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Benefits
Health Insurance
401(k) Retirement Plan
401(k) Company Match
Paid Vacation
Stock Options
Wellness Program
Company News
FINRA bars former LPL rep for taking $1.7M from clients. According to FINRA, Rudy Anguiano allegedly transferred funds from two clients to a separate account for his own LLC. LPL reimbursed both customers in full after discovering the misconduct. September 29, 2026 Want a quick summary? Regulators have barred a former LPL Financial registered representative, alleging he took over $1.7 million from two customers' accounts and placed it in an outside bank account he controlled. FINRA alleged that between July 2023 and August 2025, Rudy Anguiano transferred funds from the LPL accounts into the bank account of a limited liability company he owned and controlled. In a statement, FINRA Enforcement Head Bill St. Louis called "converting customer funds" one of "the most serious violations a broker can commit," arguing that "investors trust their brokers with their financial assets and protecting that trust is central to FINRA's mission." Anguiano is based in Chino Hills, Calif., located between Los Angeles and San Bernardino. According to FINRA records, Anguiano registered in 2007 with Wamu Investments, with tenures at LPL, U.S. Bancorp, Wells Fargo, Waddell & Reed and Ameriprise that ranged between one and four years. In 2022, he rejoined LPL Financial. According to the order settling the charges, Anguiano launched the outside LLC in 2023, and over the next several years, made separate transactions from two clients' bank accounts. According to FINRA, he allegedly transferred $1.53 million over five separate transactions and $203,000 from a second client over five transactions, for a total of $1.73 million. Neither client authorized the transactions (nor were they even aware of them). In December of last year, FINRA filed a notice with FINRA that it had fired Anguiano. In May, LPL amended its Form U5, disclosing that Anguiano was the subject of two client complaints alleging he'd "accepted and not returned funds sent from the customers' LPL accounts" to a company he controlled. According to FINRA, LPL reimbursed both clients in full. LPL did not respond to a request for comment prior to publication. Starting in January, Anguiano registered with Alexander Capital, but the firm filed a Form U5 "disclosing Anguiano's voluntary termination from the firm" in July. In agreeing to the industry bar, Anguiano did not admit or deny the findings, and he could not be reached for comment. Senior Reporter, Wealth Management Patrick Donachie is a senior reporter for Wealth Management, covering federal and state regulation, litigation and M&A deals in financial services. Patrick was born in Staten Island, and now lives in Brooklyn, N.Y.
Why is LPL Financial (LPLA) stock soaring today. Kayode omotosho /. September 25, 2026 What happened? Shares of independent financial services firm LPL Financial (NASDAQ:LPLA) jumped 5.1% in the afternoon session after the company reported that total client assets reached $2.60 trillion at the end of August 2026, up $55.3 billion, or 2.2%, from July. According to the company's monthly activity release, total organic net new assets were $13.5 billion for the month, a 6.4% annualized growth rate, while client cash balances rose to $54.4 billion. Separately, LPL said financial advisors Jon Burnett, Dan Fowler, and Chad Carlile rejoined its platforms from Raymond James' independent advisor channel, bringing about $430 million in advisory, brokerage, and retirement-plan assets, InvestmentNews reported. Strong organic asset growth and advisor recruiting typically support shares of independent broker-dealers because both expand the fee base. After the initial pop, the shares cooled down to $314.47, up 3.9% from the previous close. What is the market telling us. LPL Financial's shares are not very volatile and have only had 6 moves greater than 5% over the last year. In that context, today's move indicates the market considers this news meaningful, although it might not be something that would fundamentally change its perception of the business. The previous big move we wrote about was 3 days ago when the stock dropped 6.3% on the news that investors kept bidding the group lower after last week's Federal Reserve hike. On September 16, the Fed raised the federal funds target range by 25 basis points to 3.75%-4.00%, its first increase since 2023, according to the Federal Reserve's FOMC statement. The Fed said economic activity and domestic spending remain resilient, but stressed that inflation is still elevated and that the increase is intended to support a return to its 2% inflation goal. Higher policy rates can lift yields on interest-earning assets for some lenders. The tape has stayed focused on the less favorable side of a more restrictive backdrop: slower loan demand, higher borrowing costs for consumers and businesses, potential credit deterioration, and softer capital-markets activity. Those risks are still being marked into growth-sensitive financial earnings, which is why the selling has not stopped at last Wednesday's announcement. LPL Financial is down 13% since the beginning of the year, and at $314.47 per share, it is trading 20% below its 52-week high of $393.25 from February 2026. Despite the year-to-date decline, investors who bought $1,000 worth of LPL Financial's shares 5 years ago would now be looking at an investment worth $1,952. ONE MORE THING: The $21 AI Application Stock Wall Street Forgot. While Wall Street obsesses over who's building AI, one company is already using it to print money. And nobody's paying attention. AI chip stocks trade at ridiculous valuations. This company processes a trillion consumer signals monthly using AI and trades at a third of the price. The gap won't last. The institutions will figure it out. You need to see this first. Read the FREE Report Before They Notice.
LPL Financial welcomes Horizon Wealth Management Group. Published on 09/15/2026 at 08:55 am EDT GlobeNewswire SAN DIEGO, Sept. 15, 2026 (GLOBE NEWSWIRE) - LPL Financial LLC announced today that financial advisors Bill Wagner, CFP(R), RICP(R), Scott Sennett and Andrew Kocukov of Horizon Wealth Management Group have joined LPL Financial's broker-dealer and Registered Investment Advisor (RIA) platforms. The team reported serving approximately $385 million in advisory, brokerage and retirement plan assets* and joins LPL from Wells Fargo Advisors Financial Network. Based in Wichita, Kan., Horizon Wealth Management Group serves clients through a comprehensive, planning-based approach focused on helping individuals and families navigate retirement with confidence. The ensemble practice combines the expertise of three partners and Operations Manager Julie Starns to deliver personalized guidance that extends beyond traditional investment management. The team's clients are primarily retirees and individuals approaching retirement, with a majority of the practice focused on helping clients manage the distribution phase of their financial lives. At the core of the firm's philosophy is a commitment to understanding "the why behind the what" before making recommendations. Through detailed financial planning, retirement income strategies, estate planning guidance, long-term care discussions and ongoing support, the team works to help clients address both the financial and personal aspects of retirement. "We believe successful retirement planning is about much more than managing money," Wagner said. "It's about helping people create a fulfilling life after they leave the workforce and ensuring they have a strategy in place to support the future they envision. Every recommendation starts with understanding what's important to our clients and the goals they want to accomplish. That level of planning helps us build deeper relationships and provide guidance that extends well beyond investment management." The firm's team-based approach enables Horizon Wealth Management Group to provide specialized expertise across multiple areas of financial planning. Together, the team collaborates on estate planning and client strategy discussions, allowing them to deliver comprehensive service while remaining highly accessible to clients. Why Horizon Wealth Management Group Chose LPL The team selected LPL for its advanced technology, robust financial planning capabilities and dedicated service model. As Horizon Wealth Management Group evaluated potential partners, the advisors sought a platform that would enable them to operate more efficiently, enhance client service and support their planning-focused business model. "We spent significant time researching potential partners and ultimately felt LPL was best positioned to support both our team and our clients," Wagner said. "The technology is exceptional, and the financial planning tools align closely with our approach. The dedicated service model will help us deliver an even better client experience. Having direct access to a consistent service team means faster answers, greater efficiency and more time spent where it matters most: helping families pursue their goals." Marc Cohen, Chief Growth Officer at LPL Financial, said, "What stands out about Horizon Wealth Management Group is the team's belief that meaningful advice begins with understanding each client's goals, priorities, and vision for the future. Bill, Scott, and Andrew bring distinct expertise to that work, operating as one team so clients benefit from the collective experience and dedication of the entire firm. We're honored to welcome Horizon Wealth Management Group to LPL and look forward to supporting the team as they expand their impact while preserving the valued relationships that have shaped their success." Advisors, learn how LPL Financial can help take your business to the next level. About LPL Financial LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports more than 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.6 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. Securities and advisory services offered through LPL Financial LLC ("LPL Financial"), a registered investment advisor and broker-dealer, member FINRA/SIPC. Horizon Wealth Management Group and LPL Financial are separate entities. Throughout this communication, the terms "financial advisors" and "advisors" are used to refer to registered representatives and/or investment advisor representatives affiliated with LPL Financial. We routinely disclose information that may be important to shareholders in the "Investor Relations" or "Press Releases" section of our website. *Value approximated based on asset and holding details provided to LPL from end of year, 2025. Media Contact: [email protected] Tracking # 1173772 (C) GlobeNewswire - 2026
LPL Financial welcomes Horizon Wealth Management Group. "LPL's technology is exceptional, the financial planning tools align closely with our approach and the dedicated service model will help us deliver an even better client experience." - Bill Wagner Last Edited by: LPL Financial Last Updated: September 15, 2026 SAN DIEGO - September 15, 2026 - LPL Financial LLC announced today that financial advisors Bill Wagner, CFP(R), RICP(R), Scott Sennett and Andrew Kocukov of Horizon Wealth Management Group have joined LPL Financial's broker-dealer and Registered Investment Advisor (RIA) platforms. The team reported serving approximately $385 million in advisory, brokerage and retirement plan assets* and joins LPL from Wells Fargo Advisors Financial Network. Based in Wichita, Kan., Horizon Wealth Management Group serves clients through a comprehensive, planning-based approach focused on helping individuals and families navigate retirement with confidence. The ensemble practice combines the expertise of three partners and Operations Manager Julie Starns to deliver personalized guidance that extends beyond traditional investment management. The team's clients are primarily retirees and individuals approaching retirement, with a majority of the practice focused on helping clients manage the distribution phase of their financial lives. At the core of the firm's philosophy is a commitment to understanding "the why behind the what" before making recommendations. Through detailed financial planning, retirement income strategies, estate planning guidance, long-term care discussions and ongoing support, the team works to help clients address both the financial and personal aspects of retirement. "We believe successful retirement planning is about much more than managing money," Wagner said. "It's about helping people create a fulfilling life after they leave the workforce and ensuring they have a strategy in place to support the future they envision. Every recommendation starts with understanding what's important to our clients and the goals they want to accomplish. That level of planning helps us build deeper relationships and provide guidance that extends well beyond investment management." The firm's team-based approach enables Horizon Wealth Management Group to provide specialized expertise across multiple areas of financial planning. Together, the team collaborates on estate planning and client strategy discussions, allowing them to deliver comprehensive service while remaining highly accessible to clients. Why Horizon Wealth Management Group chose LPL. The team selected LPL for its advanced technology, robust financial planning capabilities and dedicated service model. As Horizon Wealth Management Group evaluated potential partners, the advisors sought a platform that would enable them to operate more efficiently, enhance client service and support their planning-focused business model. "We spent significant time researching potential partners and ultimately felt LPL was best positioned to support both our team and our clients," Wagner said. "The technology is exceptional, and the financial planning tools align closely with our approach. The dedicated service model will help us deliver an even better client experience. Having direct access to a consistent service team means faster answers, greater efficiency and more time spent where it matters most: helping families pursue their goals." Marc Cohen, Chief Growth Officer at LPL Financial, said, "What stands out about Horizon Wealth Management Group is the team's belief that meaningful advice begins with understanding each client's goals, priorities, and vision for the future. Bill, Scott, and Andrew bring distinct expertise to that work, operating as one team so clients benefit from the collective experience and dedication of the entire firm. We're honored to welcome Horizon Wealth Management Group to LPL and look forward to supporting the team as they expand their impact while preserving the valued relationships that have shaped their success." About LPL Financial. LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports more than 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.6 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. Securities and advisory services offered through LPL Financial LLC ("LPL Financial"), a registered investment advisor and broker-dealer, member FINRA/SIPC. Horizon Wealth Management Group and LPL Financial are separate entities. Throughout this communication, the terms "financial advisors" and "advisors" are used to refer to registered representatives and/or investment advisor representatives affiliated with LPL Financial. LPL Financial routinely disclose information that may be important to shareholders in the "Investor Relations" or "Press Releases" section of its website. *Value approximated based on asset and holding details provided to LPL from end of year, 2025.
LPL Financial welcomes Northstar Financial Advisors, LLC. "LPL gives us the flexibility and resources to operate the way we believe is best for our clients, while providing the technology and support to help our team work more efficiently." - Jeneen Slack Last Edited by: LPL Financial Last Updated: September 10, 2026 SAN DIEGO - September 10, 2026 - LPL Financial LLC announced today that financial advisor Jeneen Slack, CFP(R), CDFA(R), founder and partner of Northstar Financial Advisors, LLC, has joined LPL Financial's broker-dealer and Registered Investment Advisor (RIA) platform. Slack reported serving more than $270 million in client assets* and joins LPL from Raymond James. With nearly 20 years of industry experience, Slack built her practice on a belief that financial advice is most impactful when it is rooted in strong personal relationships. Initially inspired by a desire to help women feel more confident discussing and managing their finances, her approach today is centered on helping individuals and families make informed decisions about their financial futures. Based in Danville, Calif., Slack serves a diverse clientele throughout the Bay Area, including professionals, families, retirees and individuals navigating major life transitions. As a Certified Divorce Financial Analyst (CDFA(R), she specializes in helping clients understand the financial implications of divorce and supporting their long-term planning needs beyond the process itself. "Relationships are truly at the heart of everything we do at Northstar," Slack said. "We've intentionally built a personalized service model where every member of our team knows our clients personally and understands what matters most to them. Whether we're helping someone navigate retirement, prepare a child for financial independence or make complex decisions during a divorce, our goal is to provide guidance that evolves alongside our clients' lives." Slack, along with her business partner and fellow financial advisor Eric Slack, is supported by Kari Jeha, Jon Lee and V. John Threlkeld. Together, they bring decades of combined industry experience and a hands-on approach focused on delivering individualized service. Beyond working with clients, the practice is deeply committed to community engagement - regularly hosting educational workshops, retirement planning programs and client events designed to foster deeper connections and financial literacy. Why Northstar Financial Advisors chose LPL. As she looked ahead to the next chapter of her career, Slack sought a partner that would give her the flexibility to build Northstar around her vision for the future while providing the scale and resources of a leading financial services firm. She was particularly attracted to LPL's commitment to innovation, its advanced technology capabilities and the depth of support available to established advisors. "I'm at a point in my career where I wanted a partner that is continually investing in the future of advice," Slack said. "LPL gives us the flexibility and resources to operate the way we believe is best for our clients, while providing the technology and support to help our team work more efficiently. That combination allows us to focus on what matters most - delivering thoughtful, personalized guidance and maintaining the strong relationships we've built with our clients." Marc Cohen, Chief Growth Officer at LPL Financial, said, "What Jeneen has built at Northstar is personal by design. She and her team take the time to know their clients, helping women engage more confidently with their finances and guiding individuals and families through the decisions and transitions that shape their lives. We are honored that Jeneen chose LPL for Northstar's next chapter and look forward to helping the team extend that experience to more clients." About LPL Financial. LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports more than 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.6 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. Securities and advisory services offered through LPL Financial LLC ("LPL Financial"), a registered investment advisor and broker-dealer, member FINRA/SIPC. Northstar Financial Advisors and LPL Financial are separate entities. LPL Financial does not offer tax advice or tax preparation services. Throughout this communication, the terms "financial advisors" and "advisors" are used to refer to registered representatives and/or investment advisor representatives affiliated with LPL Financial. LPL Financial routinely disclose information that may be important to shareholders in the "Investor Relations" or "Press Releases" section of its website. *Value approximated based on asset and holding details provided to LPL from end of year, 2025.