LPL Financial Disclosures

Form CRS

Download Form CRS Here

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.

Financial Institution Disclosures

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Working with a Financial Professional Associated with a Financial Institution

Other Important Disclosures

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

LIBOR to Be Phased Out - Important Information About LIBOR and Investment Products Tied to LIBOR

LIBOR and Investment Products Tied to LIBOR

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.

About LPL Financial:

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve,* supporting nearly 20,000 financial advisors, and approximately 800 institution-based investment programs and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

*Top RIA custodian (Cerulli Associates, 2020 U.S. RIA Marketplace Report); No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2021); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 Company as of June 2021. LPL and its affiliated companies provide financial services only from the United States.