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LPL FINANCIAL

The Nation’s Leading Independent Broker/Dealer


For four decades, LPL Financial has been committed to serving the unique business needs of independent financial advisors and financial professionals working in banks and credit unions. By providing quality services, products, and training; objective research; and industry-leading technology, LPL enables its affiliated advisors and financial institutions to focus on building and maintaining wealth for their clients.


What Makes an LPL Retirement Plan Advisor Different?


The one and only focus of LPL retirement plan advisors is to provide your plan with the tools, training, and dedicated support needed to build high-quality solutions for your organization and its employees.

Independent: An LPL retirement plan advisor is an autonomous professional, focused on addressing the unique needs of your plan. He or she has access to turnkey reporting capabilities for plan features’ comparability and fee transparency under ERISA section 408(b)(2).

Highly Trained: Regular LPL conferences, webinars, and education help ensure that your advisor is well-versed in the intricacies of plan regulation and administration, along with having specialized knowledge of ERISA and Department of Labor rules.

Committed to Plan Sponsor’s Success: An LPL retirement plan advisor seeks to help you make better decisions and optimize your plan design and investment options. Services designed specifically for the needs of plan sponsors include fiduciary-level investment monitoring, expedited investment policy statement (IPS) preparation assistance, education services geared toward plan committees, and management of vendor relationships.

Committed to Your Employees’ Success: An LPL retirement plan advisor is fully dedicated to improving retirement readiness for your employees while they are in-plan, preparing to retire, and after they have left the plan.


What Makes an LPL Financial Advisor Different?


Effective wealth management is enhanced by the right partner. In the same way you benefit from the knowledge and guidance of your financial advisor, your advisor benefits from the insights and oversight of LPL.

Our Investment Protection Pledge: When you invest with an advisor who affiliates with LPL, your assets are protected with multiple levels of security.

Robust Toolset: Your advisor is supported by a powerful toolset – from comprehensive oversight to technology solutions. Your advisor has access to objective market analysis from our research team – one of the largest and most tenured research groups among independent brokerage firms.

Confident Choices: We offer no proprietary investment products and engage in no investment banking activities, which means our research and market insights are always objective, and your advisor is free to recommend any investments that will help you meet your financial goals.