We don’t want advisors to get bogged down on the compliance side. Ultimately, we exist to ensure that advisors can grow their business by focusing their time on providing support to prospects and clients.- Louis Simmons, AVP, Advertising Compliance
Financial industry rules and regulations are complex and constantly changing. With a supportive team behind you, you can rest assured that your compliance requirements are covered.
LPL’s expert Business Risk Management team is backed by our advanced platform of risk and compliance management, services, and technology—all designed to protect you and your business.
You’ll also be supported by a dedicated team of supervisory principals to assist with day-to-day supervisory responsibilities:
This team comprises first-line supervisors for specific activities, including:
This team provides first-line supervisors for specific products, such as:
This team assesses new advisors and certain activities of existing advisors, including:
Serving your clients’ needs and running your practice are the focus of what you do. With a collaborative partner to keep up with regulations, you’ll have more time to do that—along with the peace of mind in knowing that your practice is compliant.