How LPL Supports?

How LPL Supports Your Advisor

LPL Financial provides advisors with the tools, technology, and support they need to manage successful practices. Backed by our substantial resources, your LPL Financial advisor can focus on what he or she does best—provide you with sound financial guidance and advice.

LPL Financial offers your financial advisor:

  • Independent research — Providing in-depth analysis of thousands of securities, mutual funds, and ETFs, our research helps your advisor select investment solutions that are right for you.
  • State-of-the-art technology — We provide technology systems that allow your financial advisor to make accurate, timely trades; maintain your account records; and access research on demand.
  • Innovative investment tools — You and your advisor can choose investments from leading investment managers, assisted by high-quality investment tools designed to analyze investment style, risk, and other characteristics.
  • Dedicated service — As an enabling partner, we help your financial advisor fully leverage our resources to better serve your needs.
  • Comprehensive training — LPL Financial offers a wide variety of training opportunities covering such topics as product strategies, business and industry best practices, operations and compliance, and market and industry trends.
  • Extensive compliance support — The LPL Financial compliance department provides oversight of many diverse compliance and monitoring requirements, including review and approval of advertising materials, surveillance of advisor trading activities and sales practices, oversight and monitoring of registered investment advisory activities, licensing and registration, and audits of branch offices.