Transition assistance

To ensure your transition is seamless, you’ll be connected to a dedicated, experienced support team to answer your questions and creatively develop solutions for your specific needs. Training, planning, analysis, and compliance readiness: Let LPL transition assistance help you get ready and stay ready.

Investment transitions

Your book of business reflects both your hard work and the goals of the people, families, and communities you serve. Our Investment Transitions Consulting Team understands that and will transfer those assets seamlessly and efficiently with the same care, support, and attention to detail that you have put into building them.

LPL Transition Portal

The LPL Transition Portal offers an online transition tracker for each step of the onboarding process. This tracker includes training and compliance tips so you can easily monitor your progress.

Transitioning and Moving to LPL Financial

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Stage 1: Begin the advisor review process

To begin your transition, submit your eRegistration Kit to start the advisor review process. If applicable, you’ll also submit your marketing materials for review and approval. Much of the legwork at this point in the process will be completed by your Onboarding Consultant.   

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Stage 2: Prepare for your future with LPL

Your training plan will be created and you should begin your on-demand courses, which are available as engaging training modules and webinars. Courses must be completed prior to your license transfer to ensure access to critical systems when you join. You’ll also receive a collection of onboarding documents from your Onboarding Consultant to complete and return to LPL.

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Stage 3: Move with confidence

Your Onboarding Consultant will be available to help answer questions related to your transition. You can also work with our Service teams for questions about asset transfer, account setup, trading, and more. You can also leverage our suite of transition tools such as eSignature to complete the repapering process in a convenient and efficient way for you and your clients.

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Stage 4: Get back to business

Once you’ve joined LPL, you can take full advantage of our strength and scale to effectively serve clients. Our teams are here to help you get acquainted with the various tools and subject-matter experts available to you to start writing the next chapter of your success.

Get whitepapers & insights

Review these whitepapers and case studies for strategies you can use to more effectively guide your clients and build your practice.

Transition your business

Learn the truth about transitioning and get closer to making your move with confidence.

Build your business like a boss

Understand how a scalable business model can fire up business growth and help position you for the future.