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Professional Referral Network

CPAs, attorneys, or other professionals who serve their clients’ financial interests can partner with a financial advisor to access additional wealth-management strategies for clients and receive compensation. LPL Financial’s Professional Referral Network creates alliances that provide clients a more holistic way to pursue financial goals.

Partner with an LPL Advisor

Clients today are looking for trusted professional who can work together—on the same page—to help them pursue their short- and long-term financial goals.

LPL Financial’s Professional Referral Network partners CPAs, attorneys, and other professionals with financial advisors to address their clients’ needs. In addition, these strategic alliances can provide networking and compensation opportunities while adding long-term value to their businesses.

Client Benefits

Clients gain access to a full range of wealth-management strategies—and benefit from knowing their trusted professionals are working in tandem toward their goals.

  • Investment services
  • Financial planning
  • Insurance services
  • Retirement planning

Benefits for Professionals

  • The ability to transform a traditional business model into a full-service model
  • Business building, networking, and additional referral opportunities
  • Expanded value-added tools and services to offer your clients and prospects
  • The competitive advantage of providing clients with access to a wide range of sophisticated investment products and services

Affiliation Options

Professionals participating in the program can choose from two affiliation options, depending on the type of business they would like to refer (brokerage versus advisory) and whether they want to have an ongoing relationship or simply refer a client:

Limited Securities Professional: This option is for certified public accountants (CPAs), attorneys, and other professionals who want to share in brokerage or brokerage and advisory business and prefer to be more active in the client relationship. The professional is required to be securities licensed; LPL will provide assistance to those who wish to attain one.

Solicitor Professional: This option is for CPAs, attorneys, and other professionals who want to simply refer a client to a financial advisor for advisory services only. These relationships enable professionals to receive ongoing compensation for the referral of new clients who open and maintain LPL fee-based investment accounts with an LPL financial advisor.