The Assurance Plan from LPL Financial


Advisors’ businesses are one of their most important assets, grown from hard work and dedication. Safeguard your business and plan for the future with LPL’s Assurance Plan.


Protect your legacy with peace of mind.

Your business is likely one of your biggest and most important assets. You’ve built it with hard work and dedication over many years by helping your clients’ safeguard their futures and prepare for the unexpected. It’s essential to be sure your business’ future, and the futures of those it impacts, are safeguarded as well should the unexpected and unfortunate occur.

With LPL’s Assurance Plan, financial advisors can protect their legacies and loved ones through a simple, efficient, and cost-effective plan that offers:

  • Guaranteed buyer for your practice
  • Guaranteed financial protection for your loved ones
  • Guaranteed annual valuations of your business

Each feature comes with more opportunity for personalization and customization. And, ultimately makes LPL’s Assurance Plan the only plan of its kind for advisors looking for peace of mind.

Protect the people that matter to you, right away.

The future of your practice affects the futures of your loved ones and those that depend upon you and your business. No one enjoys planning for events that involve unfortunate circumstances—which may account for why 70% of financial professional do not have a current succession plan in place**. But the reality is that the unexpected and unanticipated can happen at any time. The decisions you choose to make now will have an enormous impact on how those that matter most navigate a future in your absence.

Imagine knowing that, if something were to happen to you, your family would receive a financial safety net. That’s what LPL’s Assurance Plan offers. As soon as LPL is notified of your death or permanent disability, the plan goes into action with an upfront payout to beneficiaries valued at 1.5x recurring business revenue. We will deliver any additional proceeds to beneficiaries as well, following close of sale of your business.


Protect future practice plans, your way.

With LPL, you can keep the future of your practice in control. The Assurance Plan offers more than financial protection—it gives you the option to choose who will run your business in your absence. Through your plan, you can designate a preferred buyer for your book of business who will have the first right of refusal.

Should anything happen to you, your preferred buyer can commit to purchasing your practice at market price within ten business days. In the event your preferred buyer’s commitment isn’t made, we’ll work diligently to sell your book of business on behalf of you and your family.

We at LPL Financial understand that you’ve spent years building your business. With The Assurance Plan, you can ensure its value will be recognized even during uncertain times.


Interested in learning more about the exclusive programs and services at LPL Financial, such as The Assurance Plan, that can help you achieve your vision of business success? LPL’s representatives are ready to answer your questions. Reach out today!

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