About LPL Financial

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve, *supporting nearly 29,000 financial advisors, and approximately 1,100 institution-based investment programs and 570 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

*No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2024); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 Company as of June 2021. LPL and its affiliated companies provide financial services only from the United States."

What is an LPL Financial Advisor?

LPL financial advisors are a group of independent financial advisors who are dedicated to providing personalized financial planning and investment management services to their clients. LPL Financial is a registered investment advisor and a broker/dealer. LPL financial advisors have access to LPL's extensive range of investment products and services, as well as its cutting-edge technology and research resources which they can use to help their clients work toward their financial goals.

Over the years, LPL Financial has grown to become the largest independent broker-dealers* in the United States, with a network of over 29,000 financial advisors who serve millions of clients across the country.

LPL financial advisors are professionals who have undergone education and training to provide financial advice and guidance to their clients.

To become an LPL financial advisor, individuals must pass relevant industry exams, such as the Series 7 to sell securities and the Series 66 to provide investment advice.

In addition to these initial qualifications, LPL financial advisors are typically required to maintain ongoing education and training to stay up-to-date on the latest financial products, services, and regulatory changes. They also usually have their life and health insurance licenses.

LPL Financial also has a variety of programs and resources available to support the ongoing training and development of its financial advisors. This includes access to research, market analysis, and other tools that can help advisors better serve their clients and stay on top of the latest trends and developments in the financial space.

What is the benefit of working with an LPL financial advisor?

There are many benefits to working with an LPL financial advisor. We can help you address your financial goals such as planning for retirement, saving up for your children’s schooling, eliminating debt, and much more.

As independent financial advisors, LPL financial advisors have no affiliation with any specific financial institution or product. We provide independent advice and recommend the products and services that best meet our clients' needs. This allows us to focus on our clients' best interests and build long-term relationships.

Overall, LPL financial advisors are knowledgeable and experienced professionals who have undergone regular training and education to become qualified to provide financial advice and guidance to their clients.

**No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2024)