CREDENTIALS AND OVERSIGHT
How We Support Your Advisor
LPL provides advisors with the tools, technology, and support they need to manage a successful practice. Backed by our substantial resources, your LPL advisor can focus on what he or she does best—provide you with prudent financial guidance and advice.
LPL offers your financial advisor:
- Integrated technology — Our integrated, web-based technology platform allows customers to manage critical aspects of their business while remaining highly efficient and responsive to their clients’ needs. Time-consuming processes—such as account opening and management, document imaging, transaction execution, and account rebalancing—are automated to improve efficiency and accuracy. With LPL focused on technology, advisors are able to focus on what is most important: growing their clients’ assets.
- Independent research — Our Research team provides unbiased research on mutual funds, separate accounts, annuities, alternative investments, equities, fixed-income securities, and more. With a focus on performance, service, and transparency, our research team delivers timely perspectives on the ever-changing economic marketplace, helping advisors to help their clients understand and adjust to the latest developments.
- Practice management programs and training — LPL constantly seeks ways to help customers increase their service to their clients. Our experience and leadership in our industry, as well as the size and diversity of our customer base, give us the ability to benchmark the best practices of successful financial advisors and financial institution-based investment programs. In addition, we are able to dedicate an experienced and diverse set of professionals to work with customers, helping them to build and manage their business and client relationships through one-on-one consulting and group training.
- Comprehensive clearing and compliance services — LPL custodies and clears the majority of our customers’ transactions, providing an enhanced customer experience and expedited processing capabilities—all backed by robust and responsive service center and operations organizations focused on providing timely, accurate, and consistent support.
In addition, our 300-person Compliance team provides oversight of many diverse compliance and monitoring requirements. We serve as a true business partner to our advisors, working closely with them and acting proactively on their behalf so they can run a compliant practice. By seamlessly integrating compliance functionality into our advisors’ practices, we enable many of their procedures to be fully automated. With LPL focusing on back-office service and support, advisors are able to focus on their clients’ future rather than on logistics.