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Advisors Moving to LPL
If you (and your licensed staff members) are moving to LPL, use the link below to access your Transition Portal. You can track your transition progress, and will find valuable resources to help you every step of the way.
Current LPL Advisors
Follow “GO” to access ClientWorks, LPL’s business process platform. Open accounts, use trading tools, and take advantage of the LPL Advisor Resource Center—all designed to help you manage your business more efficiently.
Clients of LPL Advisors
To sign in to your personal account, follow the link below to LPL’s Account View. Get real-time clarity into your portfolios, transactions, and more. Available 24/7, it can also be accessed from any device, anywhere.
LPL Financial Disclosures
Account Disclosures, Agreements, Fee Schedules & Conflicts of Interest
- Account Agreements and Account Packets
- Brokerage Compensation and Related Conflicts of Interest
- Fee Schedules - Service and Advisor Fee Schedules
- Third Party Compensation and Related Conflicts of Interest
- LPL Form ADV, Part 2A "Brochure" for Advisory Services
- Notice of Changes Relating to Distributions Upon Death
Other Important Disclosures
Investor Regulatory & Educational Resources
Regulatory Educational Resources
LPL Educational Resources
LPL LLC Financial Reports
- LPL LLC Statement of Financial Condition December 31, 2018
- LPL LLC Statement of Financial Condition June 30, 2018
- LPL LLC Statement of Financial Condition December 31, 2017
- LPL LLC Statement of Financial Condition June 30, 2017
- LPL LLC Statement of Financial Condition December 31, 2016
- LPL LLC Statement of Financial Condition June 30, 2016
Market & Trading Disclosures
- Call Securities Lottery Disclosure
- Disclosures for Market, Equity Price, and Volume Volatility
- EMMA / Material Events Disclosure
- Fixed Income Client Statement Pricing Disclosure
- Fixed Income Extreme Market Conditions Disclosure
- Fractional Share Transactions
- SEC Rule 606 Report Disclosures
- Third-Party Portfolio Manager Trading Practices
Consumer Privacy, Data, Security and Business Continuation Plan
Retirement Plans and Individual Retirement Accounts Disclosures
Tax Guides and User Manuals