LPL Financial Disclosures

Account Disclosures, Agreements, Fee Schedules & Conflicts of Interest

Click here to access information regarding LPL's brokerage and advisory programs, including account disclosures and agreements that provide details about our services, fees and conflicts of interest.

Automatic Cash Sweep Programs and SIPC Coverage

Click here to access information about LPL's Automatic Cash Sweep Programs and SIPC coverage.

Other Important Disclosures

Click here to access information about LPL’s Code of Ethics and Code of Conduct

Investor Regulatory & Educational Resources

Click here to access various investor resources provided by FINRA, the SEC, MSRB and LPL that are designed to familiarize you with investing concepts, considerations and choices available to you.

Regulatory Educational Resources

LPL Educational Resources

LPL LLC Financial Reports

Click here to access LPL LLC Statement of Financial Condition reports

Market & Trading Disclosures

Click here for market and security disclosures LPL is required to provide regarding certain brokerage practices and activities.

Consumer Privacy, Data, Security and Business Continuation Plan

Click here to access LPL's consumer privacy and security notices, information on how LPL secures your information, identity theft, and LPL's Corporate Business Continuity Plan.

Retirement Plans and Individual Retirement Accounts Disclosures

Click here for retirement plan/ERISA disclosures, brokerage platform compensation and conflicts of interest and IRA rollover guides.

Tax Guides and User Manuals

Click here for tax form and filing resources

Transition Portal

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