LPL Adds Former Berthel Fisher Financial Adviser Pair With Offices in Arizona, Nebraska
Financial advisers Roger Frank and Michael Ward, CFP, of Frank Financial Concepts have joined LPL Financial’s broker-dealer, registered investment adviser, and custodial platforms. They reported serving approximately $200 million in advisory, brokerage, and retirement plan assets and join LPL from Berthel Fisher & Co.
Frank started his career as a financial professional in 1996, working for several investment firms before founding Frank Financial Concepts in 2003. Ward joined the industry as an admin right out of college, working his way up to owning his practice. He teamed up with Frank in 2018.
With offices in Lincoln, Neb., and Scottsdale, Ariz., Frank Financial Concepts is a holistic financial firm committed to helping people pursue their financial goals. Frank and Ward believe in educating clients about their finances, and they encourage clients to share all aspects of their financial situation, including debt, income, investments, savings and goals, to help develop a holistic plan that addresses all of their needs.
“We tell our clients, ‘your mission is our mission,’” Frank said. “We are deeply committed to putting the right plans in place to help clients work toward their financial goals. We believe that by providing them with sound financial information and advice, we can help them make more informed decisions about their money.”
The team said they decided to join LPL Financial because they were impressed with the Fortune 500 company’s technology platform and commitment to providing advisers with the tools they need to be successful.
“We are excited about the opportunity to grow our business with LPL Financial,” Ward said. “LPL’s size and scale mean we now have access to more investment selections, software, and financial planning options that will benefit both us and our clients. LPL’s robust digital platform and integrated capabilities, including client reporting tools, will make our operations more efficient so that we can focus more of our time on serving clients.”
Frank added they also appreciate LPL’s research team and market insights, as well as LPL’s succession resources that will be available to help him transition out of the business in years to come. He looks forward to attending LPL’s numerous conferences and having the ability to network with other like-minded advisers.
“We’re pleased to welcome Roger and Mike to LPL and look forward to supporting their growth and success,” said Scott Posner, LPL executive vice president of business development. “We will continue to leverage our financial strength to make ongoing investments in technology and provide flexible solutions to help advisers design the perfect offering for their clients.”
LPL Financial Holdings Inc. serves nearly 23,000 financial advisers, including advisers at approximately 1,100 enterprises and 570 registered investment adviser firms nationwide. Headquartered in San Diego, its total advisory and brokerage assets totaled more than $1.44 trillion as of March 31, 2024.
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