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.
we have answers
You've got questions and we've got answers
2720 E Camelback Rd, Phoenix, Arizona 85016, United States | (602)765-2224 | firstname.lastname@example.org
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?
Is my financial strategy paying off at tax time?
Investment Analysis and Planning:
Are my current investments right for my goals?
How do I maintain our family income if I am disabled or die?
Who can explain all my options for investments, insurance, trusts, will and estate planning?
Copyright 2015. All rights reserved.
This communication is strictly intended for individuals residing in the states of
No offers may be made or accepted from any resident outside these states due to various state regulations and registration
requirements regarding investment products and services.
Fixed insurance products and services offered through CES Insurance Agency.
Securities and advisory services offered through Commonwealth Financial Network®., Member FINRA, SIPC, a Registered Investment Adviser.
To help the government fight the funding of terrorism and money-laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account with LPL Financial, we ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents. We may share information obtained from you with third parties to verify your identity, in compliance with this federal law.
Certified Financial Planner Board of Standards, Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP in the U.S., which it awards to individuals who successfully complete CFP Boards initial and ongoing certification requirements.