LPL Financial Compliance Solutions for Financial Advisors

Count on LPL Financial’s experienced compliance team to help advisors like you stay ahead of ever-changing regulations and maintain a compliant practice with customized support, training, oversight, and guidance.

Protect and Support

Your Compliance Partner

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 supervision team is backed by our advanced platform of risk and compliance management, services, and technology — all designed to protect you, your business, and your clients.

You’ll also be supported by a dedicated team of supervisory principals to assist with day-to-day supervisory responsibilities to help you navigate regulatory compliance.

business team members looking at paperwork in office

How We Support You

 

With a collaborative partner to help you stay compliant and keep up with regulatory changes, you’ll have more time to serve your clients’ needs and run your practice with confidence.

Central Supervision

 

This team comprises first-line supervisors for specific compliance activities, including:

  • Trade blotter
  • OSJ review tool tasks
  • Advisory business
  • Non-electronic correspondence
  • Direct business
  • Account level review

Complex Products Supervision

This team provides first-line supervisors for specific products, such as:

  • Variable annuities
  • Fixed index annuities
  • Alternative investments
  • Structured products
  • Leveraged and inverse exchange-traded funds

Financial Advisor Communications

This team assesses new LPL advisors compliance readiness including:

  • Outside business activities
  • Private securities transactions

Other LPL Offerings

The LPL Assurance Plan

Safeguard your the hard-earned value of your business and plan for the future with LPL’s Assurance Plan. It's your legacy. We'll help you protect it.

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LPL Partial Book Sales

Whether in strategic growth mode or evolving your niche, Partial Book Sales helps you create capacity to regain focus on what matters most to you.

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Liquidity & Capital

Recognize the enterprise value of your business and gain a fully-loaded support structure through a market-competitive M&A transaction with LPL.

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Disclosures

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