LPL Financial Firm Brochure and Program Form ADV Brochures for Advisory Services

LPL Financial is committed to providing clients with access to the information they need to make informed investment decisions. Consistent with our ongoing regulatory obligations, LPL Financial publishes the following series of disclosure documents related to our advisory services. These documents are called Form ADV brochures or program Form ADV brochures. LPL Financial advisors deliver these documents to clients at the time they are engaged to provide an advisory service or at the time an advisory account is opened. We also maintain these documents here for your convenience.

Except for the general firm brochure, each of these brochures is specific to a single type of advisory account or service. The brochures provide important information about LPL Financial, the advisory services provided, the forms of compensation received for those services, and potential conflicts of interest. These documents are typically updated at least annually. Clients with advisory accounts receive a summary of any material changes to the brochures on an annual basis.

In addition, LPL Financial maintains brochure supplements, also known as Form ADV Part 2B supplements, for each of its financial advisors who provide advisory services. These brochure supplements, which provide important information about your LPL Financial advisor, are delivered at the time you establish an advisory relationship with your financial advisor. To obtain a copy of a brochure supplement for your financial advisor, you may contact your financial advisor directly or e-mail LPL Financial Advisory Compliance at [email protected].

Please review the list below and click on the link for the brochure that corresponds to the advisory service or account you may have with LPL Financial:

Advisory Program Form ADV Brochures