Our modular approach provides you with maximum flexibility for choosing the solutions that best meet your needs. Services are available á la carte or as bundled packages and include the following:

Back-office Clearing Service Middle-office Clearing Service Front-office Clearing Service
  • Clearing of securities, mutual funds, variable annuities, alternative investments, and investment advisor products
  • Technology upgrades at no–cost
  • Customized and fully integrated compliance and surveillance reporting system
  • Trading, order entry, and business processing technology platform for financial advisors
  • LPL Financial independent research
  • Data feeds to commission system
    • Dedicated call centers for financial advisors covering: brokerage, retirement, advisory, direct business, research, and technical support
    • Custom compliance reports: data files to perform all regulatory oversight activities on business cleared at LPL Financial Custom Clearing Services
    • Investment advisory compliance reports for surveillance
    • Online financial advisor resource center
    • Technology sales tools: reporting system, portfolio review tool, portfolio manager
    • Dedicated advisory sales consulting support and training
    • Business processing and technology training
    • Marketing support
  • Client statements including life, annuity, and direct mutual fund information
  • Client service center including an equity, fixed income, and mutual fund trading desk
  • Client-approved materials with your firm's brand: sales tool outputs, forms, client Web site, and account opening kits
  • Client Web site to access account information