LPL Information Security

Our Commitment to You

At LPL Financial, our commitment to keeping your data secure is a commitment to you and your investors. We're an industry-leading firm in helping financial advisors successfully grow their business, only because we're just as committed to helping them protect it along the way. While we believe that no one vision of business success fits all, protecting that vision demands one option: the best of the best. That's what our Information Security Team of over 125 professionals provides every day for our growing community of advisors and firms.

At LPL, we know that the world of cybersecurity is ever-evolving. That's why we're always working hard to stay one step ahead to ensure cyber-threats don't get an opportunity to dim your vision of success.

How we keep your information safe

We don't take a break from protecting your business from cyber-threats. Our security team consists of trained professionals who are always working diligently in the background to monitor, detect, prevent, and respond to potential cyber-threats at any moment, day or night. Throughout the development of our investor-facing platforms and tools, from conception to implementation, we advocate for security at every step. We continue advocating by educating our advisors on the latest research and best practices, and working with third-parties who share our commitment.

LPL's technology capabilities and processes reflect our commitment to protecting your information:

Technologies

• Firewalls and access control systems to protect data from unauthorized access
• Ultra-modern security operations center to monitor threats and vulnerabilities
• Data center facility and management provided by recognized leader in infrastructure hosting
• Continuous network scanning to identify security vulnerabilities
• Distributed "denial-of-service" attack protection services to alleviate system disruption

Processes

• Comprehensive security monitoring
• Recurring disaster recovery exercises
• Pre-planned and practiced response procedures
• Automatic security scanning of programming changes
• Secured backup of data

How we keep your investors data safe

When investors feel their data is safe, they feel empowered to pursue a more active financial journey. By working with LPL Financial, advisors get more than cutting-edge tools, platforms, and cyber-savvy professional support. They get the opportunity to build more trust with current clients as they continue their journey, and help new investors feel confident when beginning theirs.

We further continue our commitment to our advisors’ and investors’ data protection through a strong security framework, which includes:

• Fraud Locking. A user's profile is immediately locked when suspicious activity is identified.
• Routine Scanning. Our team routinely looks for gaps in security environment and infrastructure.
• Testing & Review. We regularly have 3rd party experts test our system and conduct code reviews to ensure a variety of policies and requirements are met.