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Financial Planning Help

How We Are Regulated

LPL is regulated by Federal, State, and self-regulatory agencies, including the following:

Financial Industry Regulatory Authority (FINRA)
Securities Exchange Commission (SEC)
Securities Investor Protection Corporation (SIPC)
Municipal Securities Rulemaking Board

FINRA Securities Helpline for Seniors: (240) 386-HELP (4357)

Why Use an LPL Advisor?
Over the past decade, financial advisors backed by LPL have become a leading source of objective advice for accumulating and managing personal wealth. As experienced financial professionals, these advisors possess an average of 10 years of industry experience when they partner with our organization. With thousands of LPL advisors to choose from nationwide, you can identify and interview more than one advisor in your region before choosing one with whom you feel most comfortable. While advisors aligned with LPL come from different backgrounds and offer different types of expertise, they all have two things in common: they're backed by a market leader and they're 100% committed to helping you achieve your long-term financial and life goals. This means that when you invest with an LPL advisor, you can benefit from:

Objective guidance and advice - With access to leading independent research, your LPL advisor can help you make informed, objective decisions.
Investment choice and flexibility - LPL does not offer any proprietary products, so your advisor can help you choose unbiased investment products and strategies from many of the nation's leading investment managers.
Holistic approach to life planning - No matter where you are in life-just getting started or winding down a successful career-you have goals and dreams. Your advisor engages you in an ongoing conversation about your needs, goals, and objectives to create the life plan that's right for you.
Convenient account access - You can manage your account online anytime, day or night, from the convenience of your own home or office. In addition, easy-to-read account statements keep you informed of account activity and performance.
Passion for providing independent advice - LPL Financial advisors offer tailored strategies designed to address the needs of your life goals and financial growth. Our advisors base their success upon helping their clients by tapping into our vast resources to provide the objective advice you need.
An independent investment partner - Your LPL advisor more than likely lives and works in your community. And because your LPL advisor cares as much about your personal satisfaction as the performance of your portfolio, he or she serves as a true partner to help you live the life you desire.

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2720 E Camelback RdPhoenixArizona 85016, United States   |   (602)765-2224  |

A common list of questions to ask when you meet with a member of our team. Each answer will be customized, based on your situation and goals.

Estate Planning:
How do I ensure my family will get the assets I worked so hard for?

Retirement Income Planning:
How can I retire with a comfortable standard of living?

Tax Planning:
Is my financial strategy paying off at tax time?

Investment Analysis and Planning:
Are my current investments right for my goals?

Protection Planning:
How do I maintain our family income if I am disabled or die?

Other Services:
Who can explain all my options for investments, insurance, trusts, will and estate planning?