LPL Stories

Interesting articles about our corporate culture, community work, and company achievements.

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LPL Announces Settlement with Massachusetts
June 26, 2019 LPL Financial
LPL agrees to settlement with the Commonwealth of Massachusetts over compliance matters.

Two LPL Women Advisors Ranked Best in the Nation
June 26, 2019 LPL Financial
Barron’s ranks two LPL women financial advisors among the top 100 in America

Eight LPL Financial Advisors Ranked Among Top Women Wealth Advisors across the Country
June 14, 2019 LPL Financial
LPL Financial congratulates the eight affiliated advisors included in the Forbes Top Women Wealth Advisors list of 2019.

Around the Table Episode 6: How Diversity and Inclusion is Personal
June 13, 2019 LPL Financial
Diversity and inclusion is more than awareness. It’s more than a social responsibility. It’s more than a competitive advantage. It’s more than an employment strategy. It’s personal — and it affects everyone at some level.

Father's Day: LPL Financial Advisors Strengthen the Roots of a Family Tree
June 13, 2019 LPL Financial
Father and son Mark and Sam Shepherd, both LPL Financial advisors, are working together to build a sustainable legacy. Taking the wisdom of experience while embracing the trends of the future has set this family on the road to continued success.

Advisor Sleeve Delivers a New Sense of Balance
June 10, 2019 LPL Financial
Advisor Sleeve has opened a world of possibilities for LPL advisor John Shrewsbury. He has more time, without losing the flexibility and options his clients need.

Around the Table Episode 5: A Modern Community of Investors
June 07, 2019 LPL Financial
It’s no longer business as usual for financial advisors. The changing demographic composition of prospective investors requires advisors to think differently, communicate more thoughtfully, and employ greater empathy.

Around the Table Episode 4: Growing a Diverse Team and Practice
May 15, 2019 LPL Financial
To grow a diverse financial planning team and practice, financial advisors should keep one important word in mind: empathy. It can help advisors connect with prospective clients and employees from diverse backgrounds. And, numerous studies show that increasing empathy can lead to a more successful business.

8 LPL Financial Program Managers Recognized Among Top in the Nation
May 15, 2019 LPL Financial
LPL Financial is proud to announce that 8 of its bank and credit union program managers have been recognized among the 2019 Top 25 Program Managers published by BankInvestmentConsultant (BIC).

LPL Financial Mother-Daughter Advisor Team Thrives in Independent Model
May 10, 2019 LPL Financial
LPL Financial Advisors Sally and Jeanette Ng impact lives by creating personal financial plans.

Financial Times Ranks 10 LPL Financial Advisors Among Top in the Industry
May 06, 2019
LPL Financial proudly recognizes 10 advisors included in this year’s Financial Times’ Top 400 Financial Advisors list.

Around the Table Episode 3: Be Authentic and Find the Common Thread
May 02, 2019 LPL Financial
For financial advisors, one of the most important ways to reach a more diverse client base is to find the common threads that connect people. Among them: the need for financial planning services.

LPL Financial Legal Executive Honored for Advocacy, Advancing Diversity
May 02, 2019 LPL Financial
“I believe that embracing diversity – at the professional, civic and personal level – helps us build a community that is representative of everyone in it.” - Peggy Ho

Around the Table Episode 2: The Difference Between Diversity and Inclusion
April 11, 2019 LPL Financial
Diversity focuses on differences. Inclusion is about understanding and embracing those differences. What are you doing to create an environment in which different kinds of clients can feel comfortable trusting you with one of the most personal areas of their lives ─ their money?

Around the Table Episode 1: Why Diversity and Inclusion is Important
March 29, 2019 LPL Financial
Diversity and inclusion. It’s the right thing to do. For financial advisors, it’s also crucial to reaching an increasingly diverse client base — and understanding and meeting their needs.

Industry Award Recognizes LPL Financial for Technology Innovation
March 18, 2019 LPL Financial
LPL Financial awarded for advancing industry technology through the delivery of its innovative hybrid digital investment platform

Barron's Ranks 19 LPL Financial Advisors Among America's Best
March 14, 2019 LPL Financial
LPL Financial congratulates the 19 LPL advisors recognized among the 2019 Top 1,200 Financial Advisors in America by Barron’s.

LPL Participates in SEC Share Class Initiative and Related Settlement
March 11, 2019 LPL Financial
The U.S. Securities and Exchange Commission (SEC) has found that financial service companies that offer advisory services were not adequately disclosing 12b-1 fees and mutual fund share classes to investors. A 12b-1 fee is commonly charged by mutual funds, and this fee is used to pay broker-dealer firms for a fund’s distribution and shareholder services.

LPL Financial Attorneys Selected For Leadership Development Program to Further Diversity in the Industry
March 05, 2019 LPL Financial
“Achieving diversity and inclusion is not usually organic – it is deliberate and takes work. I am proud to have a role to further diversity and inclusion at LPL and in our industry.” — Ryder Hill

LPL Innovates with New Program to Help Financial Advisors Support Growing LGBT Community
February 25, 2019 LPL Financial
LPL Financial advisors and experts are collaborating to help the firm build new tools and resources to help bring financial advice to underserved markets.

LPL Financial Advisors Ranked Best-In-State by Forbes
February 25, 2019 LPL Financial
Forbes Recognizes LPL Financial advisors among the 2019 Best-In-State

African American LPL Advisors Gather for Strategic Meeting on Growth, Support
February 12, 2019 LPL Financial
Eight African American advisors gathered at LPL Financial’s Carolinas campus for an in-depth discussion on how LPL can better support and grow their business. The meeting gave attendees the opportunity to personally connect with other African American financial advisors and home office leaders while sharing input on how LPL can support, retain and attract advisors in diverse communities.

How a Longtime LPL Financial Advisor Built His Second Career Around Taxes
February 04, 2019 LPL Financial
Emmanuel “Mann” Harris Sr. tackles a second career as an LPL Financial advisor, parlaying his corporate business skills into a thriving tax and financial consulting services firm.

AdvisoryWorld's Prop Gen Tool Now Core Capability in ClientWorks
January 31, 2019 LPL Financial
“Rather than building something ourselves, we invested in a company that offers leading capabilities so that advisors could have the resources they need to grow their business — and to be able to deliver that fast, so it can begin to bring value to advisors’ practices,” said Burt White, managing director, Investor and Investment Solutions.

LPL Financial Advisor Reflects on 40 Years in the Industry
January 30, 2019 LPL Financial
LPL Financial Advisor Lee Bethel serves African American clients with a focus on education and giving back

21 LPL Financial Bank- and Credit Union-Based Advisors Among the Top in the Nation
December 20, 2018 LPL Financial
LPL Financial’s industry-leading institution-based investment program helps advisors be the best in the country, earning their spot among the 2018 BIC Top Bank Advisors.

Making a Difference: LPL Financial Foundation Helps Children Impacted by California Fires
December 20, 2018 LPL Financial
“The LPL Financial Foundation truly does make a difference in local communities and is another reason why I'm proud to have been an LPL advisor for 28 years.” - Mark Barrett, Barrett Financial Services

LPL Financial CFO: “It’s a Great Time to be at LPL"
December 12, 2018 LPL Financial
LPL Financial seeks to create long-term value by strategically investing and managing capital to benefit our advisors, their clients, and LPL shareholders. We recently sat down to chat with Matt Audette, managing director and chief financial officer, about our financial results and how the firm succeeds by helping advisors and institutions grow their businesses and drive efficiencies.

LPL Financial Lowers Pricing and Increases Choice in Retirement Plan Solution
December 03, 2018 LPL Financial
LPL demonstrates its ongoing commitment to support advisors serving retirement plans and increase advisors’ access to specialized services available to help them serve clients’ broad financial planning needs.

LPL Financial Acquires Fintech Firm AdvisoryWorld
December 03, 2018 LPL Financial
LPL Financial’s acquisition of AdvisoryWorld accelerates the journey to delivering an end-to-end technology platform, supporting advisors’ ability to maximize the power of technology to drive their business forward.

Brad Hearn: Why He’s Departing LPL
November 20, 2018 LPL Financial
Hearn admits that leaving LPL was not an easy decision. “LPL has been my home away from home for the past nine years. I am truly humbled by the relationships I have built with many of the firm’s employees and advisors that we have been fortunate to serve. It is a noble mission.”

LPL Financial Takes Action to Help Protect Investors’ Accounts Following Vendor Data Security Incident
November 19, 2018 LPL Financial
On November 1, 2018, LPL received notice that a data security incident occurred at one of our vendor firms, Capital Forensics, Inc. (CFI). The incident affected a small number of the vendor’s customers, including LPL. Learn what LPL is doing to help protect our investors whose personal information may have been involved in the incident.

LPL Financial’s Chief Diversity Officer Receives Walker’s Legacy Power Award
November 13, 2018 LPL Financial
LPL Financial Chief Diversity Officer Lisa Toppin is a 2018 recipient of the Charlotte Power 15 Award, which recognizes notable community and business leaders making an impact in the Charlotte area. The award is presented by Walker’s Legacy, a global platform for professional and entrepreneurial multicultural woman, in partnership with the Minority Business Development Agency and AARP. The Power 15 Award recognizes leaders in nine other cities across the nation.

LPL Advisor Encourages More Veterans to Join Financial Planning Industry
November 12, 2018 LPL Financial
“When you hire veterans, you have access to people who are disciplined, well-trained, good listeners, and able to execute a plan. These skills are key to being a successful financial advisor.” -- Dryden Pence, chief investment officer, Pence Wealth Management

Diversity Best Practices Enable LPL Advisor to Reach New Markets
October 30, 2018 LPL Financial
LPL Advisor Grace Yung, managing director and wealth advisor, Midtown Financial Group, discusses how diversity-related best practices have enabled her firm to reach and support large, untapped markets.

LPL agrees to settlement with FINRA over historical compliance matters
October 30, 2018 LPL Financial
Today, LPL agreed to a settlement with the Financial Industry Regulatory Authority (FINRA) on historical compliance matters primarily related to anti-money-laundering (AML) reporting and customer complaint reporting. As part of the settlement, the firm will pay a fine in the amount of $2.75 million and perform a look-back review of certain complaints.

LPL Advisor Sees Opportunity in Diversity
October 23, 2018 LPL Financial
LPL Advisor Inclusion Council member Diane Gardner CFP®, CDFA®, shares how a focus on diversity has enabled her to build a successful practice helping women who are facing significant transitions in their lives.

LPL Financial Strategic Enhancements Include Elimination of the Hybrid RIA Minimum Asset Requirement
October 22, 2018 LPL Financial
LPL has made several strategic changes recently to its hybrid and corporate platforms to position both for long-term growth, including reduced pricing, new capabilities, modified transition assistance, and a minimum advisory asset requirement for advisors joining a hybrid RIA practice.

LPL Advisor Laura LaTourette Shares Why Diversity and Inclusion Should Matter to Financial Matters
October 16, 2018 LPL Financial
LPL Advisor Inclusion Council member Laura LaTourette, CFP®, founder, North Georgia Wealth Management Group, shares her advice on what it takes to be successful in serving the lesbian, gay, bisexual and transgender (LGBT) community.

Nationally-Ranked LPL Financial Advisors Share Commitment to Clients, Passion for Work
October 12, 2018 LPL Financial
As LPL Financial celebrates Diversity Awareness Month we hear from three advisors ranked on the 2018 Barron's Top 100 Independent Advisors list.

LPL Advisor Lisa VanArsdale Offers Ideas on How to Grow a Diverse Client Base
October 09, 2018 LPL Financial
LPL Financial Advisor Inclusion Council member Lisa VanArsdale, associate wealth advisor, Lakeview Wealth Management, shares her thoughts on how to build a bigger, more diverse client base.

How LPL Advisor Albert Lopez Pays it Forward
October 04, 2018 LPL Financial
In celebration of Hispanic Heritage Month, we present the story of Albert L. Lopez, an advisor who has provided financial guidance to many business owners in the South Texas Hispanic community.

Five LPL Advisors Discuss the Value of Diversity and Inclusion for Their Practices
October 04, 2018 LPL Financial
Why is LPL's Advisory Diversity and Inclusion initiative so important? Hear five advisors explain how this work is making a difference to their practice, to their communities, and to the lives of their clients.

LPL Advisor Sees Opportunity in Diversity
October 02, 2018 LPL Financial
LPL Advisor Inclusion Council member Stanley Funches, president, INTELUS Wealth Management, suggests learning to look past your preconceived assumptions to find the vast opportunities in serving clients from different backgrounds.

LPL Financial Shares in the Vision, a Conference to Align the African American Advisor Community
September 20, 2018 LPL Financial
LPL Financial’s D&I champions converged at the Association of African American Financial Advisors annual conference. “Diverse groups of advisors want to know they’re not alone.”

Barron's Ranks LPL Firms Among the Top Independents Nationwide
September 18, 2018 LPL Financial
LPL advisors thrive with a focus on quality and connections.

LPL Financial Engages Advisors to Redefine the Service Experience
September 17, 2018 LPL Financial
“This is one of the key reasons LPL will continue to be on the leading edge of helping advisors deepen and broaden relationship they have with their clients.” – Cal Elam, EFinancial Advisors

President Trump Signs Executive Order to Enhance Retirement Security
September 06, 2018 LPL Financial
On Friday, August 31, President Trump signed an Executive Order that aims to help small businesses offer retirement savings plans to their employees.

LPL Financial Approves CKA® Designation for Advisors who Integrate Christian Values in their Client Service
August 28, 2018 LPL Financial
LPL Financial is proud to become one of the first financial services firms to approve the Certified Kingdom Advisor® (CKA®) designation to help Christian clients identify financial professionals who share their core values.

Boston Mayor Shares Best Practices with LPL
August 13, 2018 LPL Financial
More than 6,000 attendees convened in Boston for this year’s annual LPL Focus conference, a signature event in the financial services industry. LPL asked Boston Mayor Marty Walsh to share ways his administration has approached similar issues that the firm is addressing, including increasing diversity and inclusion and being accountable to stakeholders.

SC Treasurer Talks Money with Children of LPL Employees
August 10, 2018 LPL Financial
Justin Vargas, 14, never met a politician until today, when South Carolina Treasurer Curtis Loftis sat down at his table at LPL Financial’s second annual Take Your Child to Work Day. Treasurer Loftis was at the firm’s Fort Mill campus to deliver a financial literacy presentation to about 50 6th to 9th grade children of LPL employees. After chatting one on one with the treasurer, Vargas said, “He made me realize how important it is to save money.”

Forbes Ranks 17 LPL Financial Advisors Among Top Next-Gen Advisors
August 09, 2018 LPL Financial
LPL Financial is proud to announce that 17 affiliated advisors are included in the 2018 Next-Gen Wealth Advisors list published by Forbes.

LPL Financial Submits Comment Letter to the SEC
August 08, 2018 LPL Financial
LPL Financial is committed to advocating for enhancements to the Securities and Exchange Commission’s Regulation Best Interest and related proposals.

Want to Win High-Net-Worth Clients? It’s Not Complicated: ‘Stick to Your Process,' says Gulf Point Advisors
August 06, 2018 LPL Financial
The financial advisors with Gulf Point Advisors have more than 130 years of combined experience supporting high-net-worth (HNW) clientele, yet only two years doing so with LPL Financial. Chris Kenny, a partner with the New Orleans-based firm, shared why the move to LPL’s independent model has been an important milestone for the firm, what it means to now be a business owner and his secrets to winning HNW clients.

LPL Advisors Discuss How Diversity Helps Drive Growth
July 31, 2018 LPL Financial
Diversity and Inclusion was an important theme during LPL’s Focus conference in Boston. Tuesday, the company hosted a panel discussion for advisors to share inclusive best practices to meet the needs of today’s diverse investor.

LPL Financial Expands Advisor Access to its Retirement Plan Consulting Program
July 31, 2018 LPL Financial
LPL Financial today announced revised business requirements that broaden access to its Retirement Plan Consulting Program (RPCP). Going forward, qualifying advisors are eligible to service retirement plans in an advisory capacity by satisfying updated criteria.

LPL’s Burt White: ‘Adaptability is the New Superpower’
July 31, 2018 LPL Financial
LPL Managing Director Burt White held court today as a general session speaker at the company’s annual Focus conference, offering unique insights into how the rapid pace of change impacts the power and shelf life of experience. White stressed that adaptability and innovation are key success factors in today’s environment.

Feedback is a Gift: Advisors Encouraged to Give the Gift that Keeps on Giving
July 31, 2018 LPL Financial
The final day of LPL’s annual advisor conference culminated with Managing Director and Chief Investment Officer Burt White taking advisors on LPL’s journey to enhance the advisor and investor experience. Executive Vice President Rob Pettman breaks down Burt’s presentation, and Senior Vice President Chris Albertson shares what he heard from advisors at the HearMe Booth, the firm’s plan to use that feedback to continue to deliver value in affiliation with LPL.

LPL Focus Conference: Advisors Share Feedback on Service, Technology and Reaching the Next Generation
July 30, 2018 LPL Financial
Several LPL advisors were spotlighted today as part of the Focus general session, sharing insights and perspectives about what’s working for their businesses and how their feedback has affected change at the firm to benefit all advisors. Advisors shared best practices to enhance the LPL service experience, encourage technology adoption and engage millennial investors.

LPL Financial’s Kalbaugh: ‘We’re Focused on Listening and Learning’
July 30, 2018 LPL Financial
When it comes to making it easier for advisors to do business with LPL Financial, Managing Director Andy Kalbaugh said feedback plays a key role in helping the company continuously improve.

Service Superstars Recognized for Exceptional Advisor Support
July 30, 2018 LPL Financial
Five LPL Financial service professionals were honored today at Focus for demonstrating extraordinary professionalism, compassion and expertise in the service experience they deliver to advisors. The Service Superstars were recognized as part of the morning’s general session programming, with approximately 3,600 advisors in attendance, and at a breakfast with advisors and executives.

A Year Later: Use of LPL Financial’s GWP Platform is Growing Quicker than Any Other Platform in LPL History
July 30, 2018 LPL Financial
This time last year, LPL announced that its advisor-enhanced digital advice solution, the Guided Wealth Portfolios platform (GWP), was available to all LPL advisors. Since its official launch in September 2017, use of GWP has grown faster than any platform in LPL history, with over 1,500 advisors using the solution as of July 2018.

CEO Dan Arnold: Culture Change Underway at LPL
July 30, 2018 LPL Financial
LPL Financial President and CEO Dan Arnold kicked off Focus 2018 today with an update on the firm’s efforts to change its culture by putting advisors’ needs front and center.

LPL Executives and Advisors Provide Their Views on Monday’s Focus Events
July 30, 2018 LPL Financial
With another day of Focus complete, leaders and advisors reflect on the day’s events. In today’s recap of Focus, Executive Vice President Matt Enyedi summarizes remarks from the general session. Both CEO Dan Arnold and Managing Director Andy Kalbaugh delivered company updates, centering around LPL’s commitment to continuous improvement. Advisors also weigh in with their thoughts.

LPL Financial Advisors Gather in Boston for Premier Industry Event
July 29, 2018 LPL Financial
Pre-conference activities kicked off today at LPL Financial Focus 2018 including the Focus on Women and Inclusion events. Listen to a recap of today’s highlights and interviews with participating advisors.

Future Leaders Learn from LPL Financial Volunteers
July 29, 2018 LPL Financial
As part of the kick off to LPL Financial’s annual advisor conference, dozens of LPL Financial advisors and employees spent Sunday afternoon sharing leadership skills with 50 Boston-area ninth graders. The volunteer event was hosted by LPL Financial Foundation in partnership with Boston’s Crossroads, a nonprofit organization that provides guidance, resources and leadership skills to underserved youth.

Top Producing LPL Advisor Susan Kaplan Tells Women: ‘We Need More Bravado’
July 29, 2018 LPL Financial
Susan Kaplan is one of LPL’s top producing advisors, and for decades has been a woman to watch in financial services. Today, all eyes were on her as the featured speaker at the 10th annual Focus on Women, a half-day symposium within LPL’s all-advisor conference, Focus. The symposium provided women advisors with personal and professional development opportunities and cultivates a community of women advisors.

LPL Financial’s Focus 2018 Increases Focus on Diversity and Inclusion
July 29, 2018 LPL Financial
LPL Financial’s largest advisor conference gets underway today in Boston, including two milestone events in the firm’s efforts to increase programming relating to advisor and investor diversity. The inaugural Focus on Inclusion launched to help advisors cultivate inclusive practices to serve as a growth driver. And for the 10th year, Focus on Women brought together women advisors for a half-day symposium to share best practices and build a supportive community among this advisor segment.

Advisor Winnie Sun Plans Fun, Surprises for LPL Financial’s Twitter Takeover
July 27, 2018 LPL Financial
One of the most followed financial advisors on social media will take over LPL Financial’s corporate Twitter account Monday to share photos, updates and her perspectives live from Focus, LPL’s signature advisor conference.

LPL Expands List of Integrated Third-Party Technology Solutions
July 26, 2018 LPL Financial
LPL Financial today announced that it has expanded its list of integrated third-party technology to include consolidated reporting solutions available from Black Diamond and Morningstar Office. LPL Financial advisors who choose to use either of these solutions will be able to take advantage of a seamless data flow into the tools, making it easier to provide their clients with a digital experience to enhance their client relationships.

LPL Financial Government Relations Leaders Discuss Advocacy
July 25, 2018 LPL Financial
Leaders of the LPL Financial Government Relations Team discuss the impact of the LPL PAC, key issues, and how LPL Financial advisors get involved.

ClientWorks Now Integrated with Riskalyze
July 24, 2018 LPL Financial
LPL Financial announced today that its digital platform, ClientWorks, is now integrated with Riskalzye’s risk scoring software, providing financial advisors who use the tool improved account synchronization and monitoring capabilities. LPL advisors will experience a seamless data flow from LPL’s platform into the Riskalyze solution, creating the ability to link client accounts with corresponding client profiles within the tool.

For 50 Years, Freedman Financial Has Provided ‘Financial Advice in a Language You Can Understand™’
July 24, 2018 LPL Financial
Tucked away in historic Peabody, Mass., nestled along the gateway to Salem, just north of Boston, is Freedman Financial, a family-run practice that started 50 years ago in the basement of Barry Freedman’s home. He built the business going door-to-door, determined to make a difference in the lives of his clients by listening deeply, crafting thoughtful strategies, and then guiding investors throughout their financial journey.

Family of Financial Advisors Help Bridge Gap Between Generations
July 17, 2018 LPL Financial
The theme of familial wealth is close to Jay Kabad’s heart. He spent 30 years building a financial planning firm dedicated to helping families and plans to eventually transition the business to his daughter, Anasuya.

More Mutual Fund Companies Launched on NTF Network
July 16, 2018 LPL Financial
LPL’s no-transaction-fee (NTF) network launched July 2 on its Strategic Wealth Management (SWM) platform. Included in the launch are the following mutual fund companies: AllianceBernstein, BlackRock, Columbia, J.P. Morgan, John Hancock, INVESCO, Legg Mason, MFS, Natixis, Oppenheimer and Putnam.

A Life Built on Service - To Country, To Community, To Clients
July 02, 2018 LPL Financial
LPL advisor Sid Lorio, CFP, AIF (CEO of Lorio Wealth Management in Bedford, Texas) spoke to us about how the values he learned while serving in the United States Air Force shaped his career as a financial advisor.

Rockline Wealth Management Joins LPL
June 28, 2018 LPL Financial
LPL Financial LLC today proudly welcomes Rockline Wealth Management to LPL’s broker/dealer and corporate registered investment advisor (RIA) platforms. Rockline Wealth Management reported that it served approximately $415 million of client brokerage and advisory assets as of April 20*.

From Admin to President: How One Financial Advisor Took on His Father’s Business
June 26, 2018 LPL Financial
Written on a wall in financial advisor Brandon Collier’s office is a life lesson he learned years ago from his father: “Focus on making the biggest impact and everything else will fall in line.”

May Serve Days: LPL Employees Make a Difference in Their Communities
June 25, 2018 LPL Financial
Nearly 250 LPL employees recently volunteered in their local communities as part of the firm’s seventh annual May Serve Days, a month-long demonstration of volunteerism in LPL’s home office locations, including San Diego, Charlotte and Boston.

Q&A with LPL’s New Head of Business Development, Rich Steinmeier
June 25, 2018 LPL Financial
Rich Steinmeier will join LPL in mid-August as LPL’s new managing director and head of business development. We sat down with him to discuss his background and experience, his new role and his thoughts about joining LPL.

Blockchain Strategy Offers an Innovative New Investment Option for LPL Financial Advisors
June 14, 2018 LPL Financial
LPL Financial recently launched a blockchain model portfolio, created as an opportunity for LPL advisors to offer an investment strategy centered around this transformative technology. As a new way to store and transfer data, blockchain has been labeled by many as the next generation of the internet.

Flood Financial Services Joins The LPL Team
June 14, 2018 LPL Financial
LPL Financial today announced that it is proud to welcome Flood Financial Services to LPL’s broker/dealer and registered investment advisor (RIA) platforms. Flood Financial Services reported that, based on prior business*, it served approximately $330 million of client brokerage and advisory assets, as of June 1.

A Father's Reward: Daughters Taking Over His Financial Practice
June 14, 2018 LPL Financial
In celebration of Father's Day, we present the story of how one dad involved his young daughters in his practice—daughters who last year, purchased the family business and made it their own.

Congresswoman Asks for LPL Advisor’s Feedback in Facebook Live Series
June 12, 2018 LPL Financial
LPL advisor, Cary Wong, CFP® participated in a Facebook Live ridealong with Congresswoman Cathy McMorris Rodgers.

Two LPL Women Advisors Recognized for Leading the Financial Advice Industry
June 11, 2018 LPL Financial
LPL Financial is proud to announce that two of its affiliated advisors are ranked among the 2018 Top 100 Women Financial Advisors by Barron’s.

Inspired by Technology
June 07, 2018 LPL Financial
Scott Seese, LPL Managing Director and Chief Information Officer is responsible for managing the firm’s technology and system applications and creating compelling digital experiences. He shares how purpose drives his work.

Financial Advisor Shares Tips For Technology Adoption
June 07, 2018 LPL Financial
Michelle Page, LPL senior vice president, Business Consulting, and Chad Waddoups, investment program manager at Salt Lake City, Utah-based Mountain America Credit Union, discuss how technology adoption creates improved member services, as well as efficiencies within the business.

How I Built a Thriving Practice Serving as Both Advisor and Advocate
June 05, 2018 LPL Financial
In celebration of LGBT (Lesbian, Gay, Bisexual and Transgender) Pride Month in June, LPL advisor Laura J. LaTourette shares how her deep understanding of the issues facing elderly and LGBT clients helps her advocate for their financial and personal needs.

LPL’s Centrally Managed Assets Exceed $35 Billion
June 04, 2018 LPL Financial
LPL advisors are increasingly taking advantage of the firm’s centrally managed advisory platforms, including Model Wealth Portfolios (MWP), Optimum Market Portfolios (OMP) and Personal Wealth Portfolios (PWP), to outsource investment management activities and build efficiency into their practices. As a result, LPL’s total centrally managed assets now exceed $35 billion as of March 31, 2018. Centrally managed assets are a subset of LPL’s total advisory assets under custody at LPL Financial LLC.

Financial Advisors Discuss Trends, Strategy for Familial Wealth Planning
May 30, 2018 LPL Financial
Approximately 150 of LPL Financial’s top wealth managers recently gathered at the prestigious Wharton School at The University of Pennsylvania for LPL’s 2018 Private Wealth Symposium. Looking to deepen their expertise in supporting high-net-worth clientele, attending advisors heard from top academics and experts in the financial industry on contemporary financial planning, investing and practice management strategies for addressing the complex needs of high-net-worth investors.

LPL Scores 100% for Inclusive Workplace Practices
May 29, 2018 LPL Financial
LPL was among a record 609 firms to achieve a 100 percent rating in the Human Rights Campaign (HRC) Foundation’s Corporate Equality Index (CEI) 2018. The CEI recognizes companies for taking steps to ensure greater equity for LGBTQ workers and their families in the form of comprehensive policies, benefits, and practices.

LPL Advocates for Protecting Senior Investors
May 25, 2018 LPL Financial
It’s estimated that one in five Americans over the age of 65 has been victimized by financial fraud resulting in millions of dollars stolen each year. Senior investors are especially at risk for financial fraud or exploitation because of diminished capacity, isolation, disability, health problems, and bereavement. This is a critical issue, and protecting senior investors is a top priority for LPL.

Advisor’s Filipino Culture Influences Her Client Relationships
May 21, 2018 LPL Financial
Growing up in the Philippines, LPL advisor Marcia Anton soaked up the wisdom of her lola, the Filipino word for grandmother. As a successful restaurateur, her grandmother wove together the tips for success with the traditional bayanihan spirit of Filipinos, which translates to community, but in practice is a devotion to caring for one's neighbors and a deep love of family.

LPL Lobbies to Increase Retirement Plan Access for Small Businesses
May 16, 2018 LPL Financial
Starting and maintaining a retirement plan can be a major undertaking for small businesses, and it can also be a huge expense. An LPL study with small business owners showed that cost and complexity are, in fact, the biggest factors preventing small business owners from offering a retirement plan to employees.

Technology Drives Value to Financial Planning
May 16, 2018 LPL Financial
Donald Stahl, LPL senior vice president, and Peg Gaston, Investment & Planning Services manager at Rochester, N.Y.-based ESL Federal Credit Union (ESL), discuss ways LPL’s technology has enabled the institution’s wealth management program to implement a successful segmentation strategy and expand its financial planning offering, which, according to ESL, helped drive growth for the program over the past two years.

7 LPL Program Managers Recognized Among Top 25 in America
May 08, 2018 LPL Financial
LPL Financial is proud to announce that seven of its bank and credit union program managers have been recognized among the 2018 Top 25 Program Managers published by Bank Investment Consultant (BIC).

LPL Settlement Structure with North American Securities Administrators Association
May 02, 2018 LPL Financial
Today, the North American Securities Administrators Association (NASAA) announced a settlement structure with us related to our compliance with “blue sky” laws. In announcing this agreement, NASAA is representing a coalition of 52 U.S. states and territories, each of which is expected to enter separate administrative orders against the firm, tracking the terms announced by NASAA today.

Eight LPL Financial Advisors Ranked Among Top Women Advisors in the Country
May 02, 2018 LPL Financial
LPL Financial is proud to announce that eight of its affiliated advisors are included in the 2018 Top Women Wealth Advisors List published by Forbes.

LPL Financial and 626 Financial Welcome Tom Anderton and Ryan Howard
April 26, 2018 LPL Financial
LPL Financial today announced that Tom Anderton and Ryan Howard have joined LPL and aligned with 626 Financial, an independent firm on LPL’s broker-dealer and corporate advisory platforms. Anderton and Howard reported that, based on prior business*, they served approximately $230 million of client brokerage and advisory assets, as of Feb. 22.

LPL Reduces Pricing Across Corporate, Hybrid RIA Platforms
April 26, 2018 LPL Financial
LPL Financial announced today that it will roll out platform enhancements to both its corporate and hybrid advisory Registered Investment Advisor (RIA) platforms in the coming year. A mutual fund no-transaction-fee (NTF) network will be added to LPL’s Strategic Wealth Management (SWM) platform, and the company will reduce pricing on its Strategic Asset Management (SAM) advisory platform.

LPL is Committed to Making it Easier for Our Advisors to Do Business with Us
April 24, 2018 LPL Financial
We continue to listen to advisor feedback to deliver a better experience. In the videos below, LPL president and CEO Dan Arnold, and managing director and divisional president, National Sales and Consulting, Andy Kalbaugh, share how the firm is focused on implementing technology, service and policy changes to make it easier for advisors to operate their practices.

LPL Financial and IHT Wealth Management Welcome Ric Kellogg
April 24, 2018 LPL Financial
LPL Financial today announced that Ric Kellogg has joined LPL’s broker/dealer platform and aligned with IHT Wealth Management (IHT), an independent advisory firm on LPL’s hybrid registered investment advisor (RIA) platform. Kellogg reported that, based on prior business*, he served approximately $123 million of client brokerage and advisory assets, as of March 29, 2018.

Barron's Recognizes LPL Advisor Among Top 100 in the Country
April 23, 2018 LPL Financial
LPL Financial is proud to announce that Susan Kaplan of Kaplan Financial Services in Newton, Ma. was ranked among the 2018 Top 100 Financial Advisors in America by Barron’s, a leading financial magazine.

LPL’s Chief Diversity Officer: “Be Yourself”
April 11, 2018 LPL Financial
At LPL, nurturing a diverse and inclusive work environment is a priority to be able to attract and retain talented employees. Chief Diversity Officer Lisa Toppin recently discussed how engaging and empowering employees delivers outcomes on not just employees, but clients and communities as well.

LPL Uses Tax Reform Savings to Increase 401(k) Support for Employees
April 09, 2018 LPL Financial
LPL Financial will implement a plan to use a portion of company savings generated by the recent federal tax reform to help employees reach their retirement goals. Beginning May 1, LPL will increase its 401(k) match from 65 percent of employee contributions to 75 percent, up to eight percent of eligible wages. New employees will also be able to qualify for matching funds sooner, reducing wait time from one year of employment to six months.

LPL Experts Discuss Growing Client Relationships through Financial Planning
April 06, 2018 LPL Financial
Jason Crawford, LPL senior vice president, Financial Planning and Insurance, and Michelle Page, LPL senior vice president, Business Consulting, discuss how financial planning creates an opportunity for advisors to grow their businesses by delivering more value to existing clients, and how to incorporate the approach within their practices.

Study Shows Investors Reported Increased Value from LPL Advisors
March 27, 2018 LPL Financial
LPL Financial and its advisors were ranked No. 1 for client loyalty among financial distributors, based on a recent survey of affluent U.S. investors. The findings were recently released in a Cogent Wealth Reports (“Cogent”) study, “Investor Brand Builder,” published by Market Strategies International. The study also reported that LPL earned the No. 1 spot among each of the top five drivers that investors attributed to creating loyalty, including quality of investment advice and financial stability.

4 LPL Financial Advisors Named to Financial Times' Top 400 List
March 22, 2018 LPL Financial
LPL Financial is proud to announce that four of its advisors are recognized in the 2018 Financial Times Top 400 Financial Advisors list. The sixth annual list is produced by Financial Times, a leading financial industry publication, in collaboration with Ignites Research, a subsidiary of Financial Times.

Barron's Ranks 19 LPL Financial Advisors Among America's Best
March 12, 2018 LPL Financial
LPL Financial is proud to announce that 19 LPL independent advisors were recognized among the 2018 Top 1,200 Financial Advisors in America by Barron’s.

LPL Financial Welcomes Additional Top Firms and Advisors from INVEST and SII
February 28, 2018 LPL Financial
LPL Financial today announced the names of additional select top firms and advisors from National Planning Holdings, Inc. (NPH)—those from INVEST Financial Corporation and SII Investments, Inc. —that chose to join LPL. Each firm or advisor reported, based on prior business*, having served more than $100 million of client brokerage and advisory assets.

LPL Financial Completes NPH Acquisition and Welcomes Top Firms from INVEST and SII
February 26, 2018 LPL Financial
LPL Financial today announced the names of select top National Planning Holdings, Inc. (NPH) firms—those from INVEST Financial Corporation and SII Investments, Inc. —that chose to join LPL. Each firm reported that, based on prior business*, it served more than $500 million of client brokerage and advisory assets.

LPL Financial Welcomes Advisors Who Joined the Firm in Q4 2017
February 15, 2018 LPL Financial
LPL is proud to welcome advisors who chose to affiliate with the firm in the fourth quarter of 2017. Select new advisors, their approximate respective assets served* as of a recent date prior to joining LPL, and their respective former firms are listed below. The list is exclusive of those advisors who joined LPL as part of its purchase of the broker/dealer network of National Planning Holdings, Inc.

LPL Government Relations Supports Tax-Deferred Plans to Preserve Retirement Savings Options
January 18, 2018 LPL Financial
In the fall of 2017 both the U.S. House of Representatives and the U.S. Senate debated various tax reform proposals. After much back and forth, lawmakers approved the “Tax Cuts and Jobs Act,” which has been signed into law by President Trump. The law did not include rules that would have further limited contributions to tax-deferred plans in retirement plans, a proposal termed Rothification, which favors after-tax, Roth-style plans. This result was considered a decisive win by the financial services industry.

20 LPL Financial Advisors Named Among NAPA Net’s Top Retirement Plan Advisors Under 40
January 16, 2018 LPL Financial
LPL Financial is proud to announce that 20 LPL advisors have been included among the Top Retirement Plan Advisors Under 40 published by NAPA Net, the editorial arm of the National Association of Plan Advisors (NAPA).

26 LPL Financial Advisors Named to Industry’s Top Women Advisors List
December 27, 2017 LPL Financial
LPL Financial is proud to announce that 26 LPL advisors have been recognized among the 2017 Top Women Advisors by NAPA Net,the editorial arm of the National Association of Plan Advisors (NAPA).

Massachusetts Advisor Discusses Practice Management Tools
December 19, 2017 LPL Financial
Betsy Johnson, Managing Partner of Flagship Private Wealth in Woburn, Mass., shared ways she has leveraged LPL's resources and consulting support to grow her business.

Program Manager Provides Insights on Recruiting the Next Generation of Advisors
December 11, 2017 LPL Financial
Julie Bates, program manager at Delta Community Credit Union in Atlanta, shares insights to recruit the next generation of advisors to a firm, bank or credit union.

18 LPL Advisors Named To Bank Investment Consultant’s Top 100 Advisors List
December 11, 2017 LPL Financial
LPL Financial is proud to announce that 18 of its affiliated advisors have been recognized among the 2017 Top 100 Bank Advisors published by Bank Investment Consultant (BIC), a leading information source for bank and credit union financial advisors.

LPL Earns Award for Encouraging Eco-Friendly Commuting Choices
December 11, 2017 LPL Financial
The San Diego Association of Government (SANDAG) recently recognized LPL Financial for encouraging employees to choose a commute that helps reduce greenhouse gas emissions and traffic congestion. LPL was one of 67 regional employers recognized by SANDAG, and one of only 16 to achieve the award’s silver status. LPL partnered with SANDAG’s iCommute program in 2016 to identify, provide and promote eco-friendly commuting options for the more than 1,730 individuals working in LPL’s San Diego office.

LPL’s Sara Nomellini Named Corporate Real Estate Executive of the Year
November 28, 2017 LPL Financial
Sara Nomellini, LPL senior vice president, Corporate Real Estate, was recently recognized as Corporate Real Estate Executive of the Year for the Carolina region by CoreNet Global, a professional association dedicated to the advancement of the corporate real estate industry.

Linkage Honors LPL’s Michelle Oroschakoff for Commitment to Championing Women Leaders
November 17, 2017 LPL Financial
Michelle Oroschakoff, LPL managing director and Chief Legal and Risk Officer, recently received Linkage’s Executive Impact Award for being a champion of advancing women leaders. Michelle recently reflected on the influences that have shaped her leadership style and the ways she has been able to empower others.

LPL Financial and Junior Achievement Provide Career Skills Training to Local High School Students
November 15, 2017 LPL Financial
With the school year well underway, high school seniors are preparing to apply to colleges and thinking about their future careers. With the support of the LPL Financial Foundation, Junior Achievement and mentorship from LPL employee volunteers, 150 students are now more prepared for what lies ahead.

LPL Advisor Shares Technology Insights
November 15, 2017 LPL Financial
LPL advisor Dawn Marie Corneau of Corneau Wealth Management in Beverly, Mass., discusses how LPL’s integrated technology platform has delivered value to her practice.

LPL’s Military Roots Shape Our Commitment to Service
November 10, 2017 LPL Financial
We’re grateful for all the veterans who have protected and served our country—and those who continue to do so. As we recognize and thank them for their service this Veterans Day, it’s also a time to reflect on our own military roots as a company formed by two veterans with a vision and passion for independence.

Forbes Ranks Eight LPL Financial Advisors Among the Nation's Top Wealth Advisors
November 09, 2017 LPL Financial
LPL proudly announces the eight LPL advisors who are among the 2017 Top Wealth Advisors published by Forbes, a leading business magazine.

Military Service Deepens LPL Advisor’s Approach to Client Service
November 08, 2017 LPL Financial
When LPL advisor Russ Cesari’s daughter and son went into the military, the former Army captain offered these words of advice: “You need to take care of your people. If they know you care about them, they’ll be loyal.”

Mother-Daughter Advisor Team Discuss Their Model for Growth
November 07, 2017 LPL Financial
LPL advisors Robin Saar and Cassie Mlakar of the Investment Services team at First State Bank in Shannon, Ill. sat down with LPL’s Michelle Page, senior vice president, Institution Services, at LPL’s recent Women Advisors Leaders Forum to share their insights on a variety of topics relevant to their business.

40 LPL Financial Advisors Ranked Among Top Retirement Plan Advisors
November 03, 2017 LPL Financial
LPL Financial is proud to announce that 40 affiliated advisors have been recognized among the 2017 Financial Times Top 401 Retirement Plan Advisors. The list is produced by Financial Times, a leading financial industry publication, in collaboration with research partner Ignites Research, a subsidiary of the publication that provides business intelligence on asset management.

LPL’s Carolinas Campus Recognized as Top Office Development in the Charlotte Region
October 31, 2017 LPL Financial
LPL is proud to announce the firm’s Carolinas campus in Fort Mill was awarded Charlotte Business Journal’s Heavy Hitters Awards for Top Office Development. The annual awards recognize outstanding commercial real estate projects in the Charlotte area.

LPL’s Carolinas Campus Recognized by the USGBC for Sustainable Design
October 16, 2017 LPL Financial
LPL is proud to announce that our Carolinas campus has been honored with a Green Gala Sustainable Business Award for innovative interior design. The Green Gala Awards are presented annually by the North Carolina and South Carolina chapters of the U.S. Green Building Council (USGBC), recognizing excellence and innovation in sustainable design practices.

Barron's Ranks Four LPL Financial Advisors Among Top 100 Independent Advisors in the Country
September 18, 2017 LPL Financial
LPL Financial is proud to announce that four LPL advisors were ranked among the Top 100 Independent Financial Advisors in America by Barron’s, a leading financial magazine.

LPL Financial Announces 2017 National Merit Scholarship Honorees
September 11, 2017 LPL Financial
LPL Financial is proud to award the 2017 LPL National Merit Scholarship to nine rising college students. The $1,000 renewable scholarships are given annually to college-bound children of full-time LPL employees and LPL advisors. In addition, LPL awards scholarships to three students that are involved with charity partner organizations in each of LPL’s office locations.

LPL Financial Volunteer Event Builds Bridges with Students in Boston
August 25, 2017 LPL Financial
As part of LPL’s 2017 Focus conference, the LPL Foundation hosted a volunteer event to support two Boston-area nonprofits. More than 40 volunteers, including LPL advisors, executives and employees took part in mentoring at-risk youth and assembling 500 school supply kits.

Summer Interns Make a Difference Working on Community Projects
August 07, 2017 LPL Financial
College students enriched their summer internship experience at LPL by volunteering in LPL’s local communities. In San Diego, LPL interns helped the Boys & Girls Clubs of Greater San Diego host an Olympics-style competition for 650 youth at the 4S Ranch Branch. Interns working at LPL’s Fort Mill, S.C., location contributed their time to improve the Anne Springs Close Greenway, a 2,100-acre nature preserve adjacent to LPL’s Carolinas campus.

Forbes Ranks 19 LPL Financial Advisors Among Top Next-Generation Wealth Advisors
July 27, 2017 LPL Financial
LPL Financial is proud to congratulate the 19 advisors who were included in the 2017 Top Next-Generation Wealth Advisors list published by Forbes, a leading business magazine.

LPL Employees Join Together in Service for May Serve Days
June 26, 2017 LPL FInancial
Nearly 300 LPL Financial employees recently volunteered as part of LPL’s 6th annual May Serve Days, a month-long demonstration of volunteerism in communities surrounding the firm’s three office locations, including Boston, the Carolinas, and San Diego.

6 LPL Advisors Named to InvestmentNews’ 40 Under 40 List
June 23, 2017 LPL Financial
LPL Financial congratulates six affiliated advisors who were named to the 2017 InvestmentNews 40 Under 40 list. The annual award honors professionals in the financial advice industry for their success and contribution to the industry at large.

Longtime Advisor Prepares to Transition ‘Ministry in Finance’ to Son
June 14, 2017 LPL Financial
When Joel Malakoff was 11 years old, his father sat him down to break some devastating news: there would be no more allowance. The family could no longer afford the extra $2.50 per week.

Three LPL Advisors Recognized Among Barron’s Top 100 Women Financial Advisors
June 05, 2017 LPL Financial
LPL Financial is proud to announce that three affiliated advisors are ranked among the 2017 Top 100 Women Financial Advisors by Barron’s, a leading financial magazine.

A Decade of Growth and Partnership
May 25, 2017 Robert Russo
May 14, 2017, marked an important date for Robert Russo: the 10th anniversary of his partnership with LPL Financial. Robert, CEO and managing partner of LPL-affiliated hybrid RIA firm, Independent Advisor Alliance, recently reflected on the milestone and how LPL’s independent platform helped him take his business to the next level.

Three Advisor Teams Recognized Among Barron's Top Institutional Consultants
May 19, 2017 LPL Financial
LPL Financial is proud to announce that three LPL-supported advisor teams were recently ranked among the Top Institutional Consultants in the country by Barron’s, a leading financial magazine.

8 LPL Bank and Credit Union Program Managers Recognized Among Top 25 in the Industry
May 15, 2017 LPL Financial
LPL Financial is proud to announce that eight program managers on LPL’s Institution Services platform have been recognized among the 2017 Top 25 Program Managers published by Bank Investment Consultant (BIC), a leading information source for bank and credit union financial advisors.

Single Mom Built Successful Practice She Now Shares With Her Sons
May 12, 2017 LPL Financial
When Dorothy Bickling began her professional career in 1962, she said she never would have guessed she would be a financial advisor, much less working alongside her two sons, Spencer Betts and Andy Betts. Yet for 17 years, she has been in practice with her family at Bickling Financial Services in Lexington, Mass.

Father’s Death Put Financial Literacy into Perspective for LPL Advisor
April 28, 2017 LPL Financial
Conor Delaney’s parents were school teachers who lived paycheck to paycheck. Despite their knowledge and success in academia, they were unaware of the importance of investing or retirement planning, and they struggled just to pay the monthly bills, filing bankruptcy twice. Then, just days after Conor graduated from high school in 2003, Conor’s father died suddenly at age 52.

Barron's Ranks LPL Financial Advisor Among Top 100 in the Country
April 17, 2017 LPL Financial
LPL Financial is proud to announce that Susan Kaplan, an independent LPL advisor, was ranked among the Top 100 Financial Advisors in America by Barron’s, a leading financial magazine.

LPL Recognized for Its Technology Enhancements
April 17, 2017 LPL Financial
LPL is proud to announce that the firm has received a Blue Diamond Award for the business value delivered to advisors through its enhanced digital wealth platform, ClientWorks. The Blue Diamond Awards are presented annually by the Charlotte Chamber of Commerce and the Charlotte Area Technology Collaborative to recognize technology innovation and talent in Charlotte, where LPL is based.

LPL Financial Advisors Represent Over a Quarter of Those Named Among The Top 100 Retirement Plan Advisors by Industry Publication
April 12, 2017 LPL Financial
LPL Financial is proud to announce that 27 LPL advisors and advisor teams are included among the 2017 Top 100 Retirement Plan Advisers list published by PLANADVISER, a leading industry publication reporting on the retirement plan industry.

LPL Financial Advisors Ranked Among Financial Times' Top 400 List
March 30, 2017 LPL Financial
LPL Financial is honored to announce that 10 of its advisors are recognized in the 2017 Financial Times Top 400 Financial Advisors list. The list is produced by Financial Times, a leading financial industry publication, in collaboration with Ignites Research, a subsidiary of Financial Times.

LPL’s Independent Platform Creates Opportunity for Women Advisors
March 29, 2017 LPL Financial
Four LPL advisors share how the independent platform empowered them to build successful businesses that work for their lives.

20 LPL Financial Advisors Named To NAPA’s Top Retirement Plan Advisors Under 40 List
March 07, 2017 LPL Financial
LPL Financial is proud to announce that 20 of its advisors are recognized among the Top Retirement Plan Advisors under 40, published by National Association of Plan Advisors (NAPA).

Barron's Ranks 26 LPL Financial Advisors Among America's Best
March 06, 2017 LPL Financial
LPL Financial is proud to announce that 26 LPL independent advisors were ranked among the Top 1,200 Financial Advisors in America by Barron’s, a leading financial magazine. In addition, two LPL advisors were ranked No. 1 in their respective states, including Charles Zhang of Michigan and Jeffery Vincent of Wyoming.

Why I Give Back: A Q&A with Matthew Peterson, LPL Research
March 06, 2017 LPL Financial
LPL Research Senior Vice President Matthew Peterson recently served as the corporate host for the LPL Financial Foundation’s fourth annual Personal Finance Symposium to educate local high school students. Organized in partnership with Junior Achievement, the event gathered LPL employee volunteers and 80 Garinger High School students to explore the fundamentals of personal finances, including topics such as saving, budgeting, and credit and risk management.

Five LPL Financial Advisors Ranked Among Forbes' Top 200 Women Advisors List
February 28, 2017 LPL Financial
LPL Financial is proud to announce that five of its advisors are included in the 2017 “Top 200 Women Advisors List” published by Forbes, a leading business magazine.

Understanding the New Political Landscape
January 20, 2017 LPL Financial
Today marks the swearing in of Donald Trump as the 45th President of the United States. Whether you are a Republican, Democrat, or Independent, one thing’s for sure, this inauguration is the culmination of a long, difficult presidential campaign.

LPL Financial Advisors Dominate NAPA’s Top Women Advisors List
January 03, 2017 LPL Financial
LPL Financial is proud to announce that 27 of its advisors are included in the 2016 National Association of Plan Advisors (NAPA) Top Women Advisors ranking published by NAPA Net,the editorial arm for NAPA. The annual list recognized 110 women advisors for their significant contributions to the retirement plan industry.

LPL Financial Advisors Comprise 21 Spots Among Bank Investment Consultant’s Top 100
December 14, 2016 LPL Financial
LPL Financial is proud to announce that 21 of its advisors are recognized in the 2016 “Top 100 Bank Advisors” ranking published by Bank Investment Consultant (BIC), a leading information source for bank and credit union financial advisors.

LPL Earns Distinction as one of the “Best Places to Work for LGBT Equality”
December 08, 2016 LPL Financial
LPL Financial today announced the firm has achieved a top score of 100% in The Human Rights Campaign’s (HRC) Corporate Equality Index (CEI), recognizing the company as one of the “Best Places to Work for LGBT Equality.”

LPL Financial Welcomes JBL Financial Services
December 06, 2016 LPL Financial
LPL Financial announced today that JBL Financial Services, Inc. has joined its broker/dealer and hybrid Registered Investment Advisor (RIA) platforms. The St. Louis, Mo.-based firm has aligned with Private Advisor Group, a hybrid solution supported by LPL. JBL Financial Services reported that, based on prior business, its advisors served approximately $140 million of client brokerage and advisory assets, as of Sept. 30, 2016*.

LPL Financial Service Teams Earn DALBAR’s Recognition for Excellence Award
November 29, 2016 LPL Financial
LPL Financial was recently honored for its service excellence by DALBAR, Inc., a leading financial services market research firm. LPL’s Worksite Financial Solutions* and Investor Solutions call center support teams, which serve LPL advisors managing retirement plans and the participants in those plans, earned Recognition of Excellence Awards for their high level of service.

LPL Invites Students To Go “Beyond School Walls” With Big Brothers Big Sisters Mentorship Program
November 28, 2016 LPL Finanacial
LPL Financial welcomed 25 Fort Mill Middle School students to its new Carolinas campus on Nov. 16 for the launch of the Big Brothers Big Sisters “Beyond School Walls” mentorship program. This is the fifth year LPL has taken part in the program, which matches LPL employees with middle school students in need of a mentor in order to help them with life skills and a career vision.

RIAs Find Ways to Adapt To Regulatory and Technology Changes
November 22, 2016 LPL Financial
At LPL’s ADVocate RIA Symposium this month, a singular theme was present throughout all facets of the business: Change management.

Veterans, Animal Welfare Close to Heart for Longtime LPL Advisor
November 08, 2016 LPL Financial
Bob Fragasso is all too aware of the alarming statistics of suicide, family abuse, and Post-Traumatic Stress Disorder facing veterans returning from active duty. He served in the U.S. Marine Corps for six years before entering the financial services industry.

LPL Financial Contributes $50,000 to Anne Springs Close Greenway
November 08, 2016 LPL Financial
LPL Financial has demonstrated its continued commitment to giving back to the communities where its employees work and live by making a $50,000 donation to the Anne Springs Close Greenway in Fort Mill, S.C.

LPL Announces Settlement with Massachusetts
June 26, 2019 LPL Financial
LPL agrees to settlement with the Commonwealth of Massachusetts over compliance matters.

Father's Day: LPL Financial Advisors Strengthen the Roots of a Family Tree
June 13, 2019 LPL Financial
Father and son Mark and Sam Shepherd, both LPL Financial advisors, are working together to build a sustainable legacy. Taking the wisdom of experience while embracing the trends of the future has set this family on the road to continued success.

Advisor Sleeve Delivers a New Sense of Balance
June 10, 2019 LPL Financial
Advisor Sleeve has opened a world of possibilities for LPL advisor John Shrewsbury. He has more time, without losing the flexibility and options his clients need.

LPL Participates in SEC Share Class Initiative and Related Settlement
March 11, 2019 LPL Financial
The U.S. Securities and Exchange Commission (SEC) has found that financial service companies that offer advisory services were not adequately disclosing 12b-1 fees and mutual fund share classes to investors. A 12b-1 fee is commonly charged by mutual funds, and this fee is used to pay broker-dealer firms for a fund’s distribution and shareholder services.

LPL Financial Advisors Ranked Best-In-State by Forbes
February 25, 2019 LPL Financial
Forbes Recognizes LPL Financial advisors among the 2019 Best-In-State

African American LPL Advisors Gather for Strategic Meeting on Growth, Support
February 12, 2019 LPL Financial
Eight African American advisors gathered at LPL Financial’s Carolinas campus for an in-depth discussion on how LPL can better support and grow their business. The meeting gave attendees the opportunity to personally connect with other African American financial advisors and home office leaders while sharing input on how LPL can support, retain and attract advisors in diverse communities.

How a Longtime LPL Financial Advisor Built His Second Career Around Taxes
February 04, 2019 LPL Financial
Emmanuel “Mann” Harris Sr. tackles a second career as an LPL Financial advisor, parlaying his corporate business skills into a thriving tax and financial consulting services firm.

AdvisoryWorld's Prop Gen Tool Now Core Capability in ClientWorks
January 31, 2019 LPL Financial
“Rather than building something ourselves, we invested in a company that offers leading capabilities so that advisors could have the resources they need to grow their business — and to be able to deliver that fast, so it can begin to bring value to advisors’ practices,” said Burt White, managing director, Investor and Investment Solutions.

LPL Financial Advisor Reflects on 40 Years in the Industry
January 30, 2019 LPL Financial
LPL Financial Advisor Lee Bethel serves African American clients with a focus on education and giving back

LPL Financial CFO: “It’s a Great Time to be at LPL"
December 12, 2018 LPL Financial
LPL Financial seeks to create long-term value by strategically investing and managing capital to benefit our advisors, their clients, and LPL shareholders. We recently sat down to chat with Matt Audette, managing director and chief financial officer, about our financial results and how the firm succeeds by helping advisors and institutions grow their businesses and drive efficiencies.

LPL Financial Lowers Pricing and Increases Choice in Retirement Plan Solution
December 03, 2018 LPL Financial
LPL demonstrates its ongoing commitment to support advisors serving retirement plans and increase advisors’ access to specialized services available to help them serve clients’ broad financial planning needs.

LPL Financial Acquires Fintech Firm AdvisoryWorld
December 03, 2018 LPL Financial
LPL Financial’s acquisition of AdvisoryWorld accelerates the journey to delivering an end-to-end technology platform, supporting advisors’ ability to maximize the power of technology to drive their business forward.

Brad Hearn: Why He’s Departing LPL
November 20, 2018 LPL Financial
Hearn admits that leaving LPL was not an easy decision. “LPL has been my home away from home for the past nine years. I am truly humbled by the relationships I have built with many of the firm’s employees and advisors that we have been fortunate to serve. It is a noble mission.”

LPL Financial Takes Action to Help Protect Investors’ Accounts Following Vendor Data Security Incident
November 19, 2018 LPL Financial
On November 1, 2018, LPL received notice that a data security incident occurred at one of our vendor firms, Capital Forensics, Inc. (CFI). The incident affected a small number of the vendor’s customers, including LPL. Learn what LPL is doing to help protect our investors whose personal information may have been involved in the incident.

LPL Financial’s Chief Diversity Officer Receives Walker’s Legacy Power Award
November 13, 2018 LPL Financial
LPL Financial Chief Diversity Officer Lisa Toppin is a 2018 recipient of the Charlotte Power 15 Award, which recognizes notable community and business leaders making an impact in the Charlotte area. The award is presented by Walker’s Legacy, a global platform for professional and entrepreneurial multicultural woman, in partnership with the Minority Business Development Agency and AARP. The Power 15 Award recognizes leaders in nine other cities across the nation.

LPL Advisor Encourages More Veterans to Join Financial Planning Industry
November 12, 2018 LPL Financial
“When you hire veterans, you have access to people who are disciplined, well-trained, good listeners, and able to execute a plan. These skills are key to being a successful financial advisor.” -- Dryden Pence, chief investment officer, Pence Wealth Management

Diversity Best Practices Enable LPL Advisor to Reach New Markets
October 30, 2018 LPL Financial
LPL Advisor Grace Yung, managing director and wealth advisor, Midtown Financial Group, discusses how diversity-related best practices have enabled her firm to reach and support large, untapped markets.

LPL agrees to settlement with FINRA over historical compliance matters
October 30, 2018 LPL Financial
Today, LPL agreed to a settlement with the Financial Industry Regulatory Authority (FINRA) on historical compliance matters primarily related to anti-money-laundering (AML) reporting and customer complaint reporting. As part of the settlement, the firm will pay a fine in the amount of $2.75 million and perform a look-back review of certain complaints.

LPL Advisor Sees Opportunity in Diversity
October 23, 2018 LPL Financial
LPL Advisor Inclusion Council member Diane Gardner CFP®, CDFA®, shares how a focus on diversity has enabled her to build a successful practice helping women who are facing significant transitions in their lives.

LPL Financial Strategic Enhancements Include Elimination of the Hybrid RIA Minimum Asset Requirement
October 22, 2018 LPL Financial
LPL has made several strategic changes recently to its hybrid and corporate platforms to position both for long-term growth, including reduced pricing, new capabilities, modified transition assistance, and a minimum advisory asset requirement for advisors joining a hybrid RIA practice.

LPL Advisor Laura LaTourette Shares Why Diversity and Inclusion Should Matter to Financial Matters
October 16, 2018 LPL Financial
LPL Advisor Inclusion Council member Laura LaTourette, CFP®, founder, North Georgia Wealth Management Group, shares her advice on what it takes to be successful in serving the lesbian, gay, bisexual and transgender (LGBT) community.

Nationally-Ranked LPL Financial Advisors Share Commitment to Clients, Passion for Work
October 12, 2018 LPL Financial
As LPL Financial celebrates Diversity Awareness Month we hear from three advisors ranked on the 2018 Barron's Top 100 Independent Advisors list.

LPL Advisor Lisa VanArsdale Offers Ideas on How to Grow a Diverse Client Base
October 09, 2018 LPL Financial
LPL Financial Advisor Inclusion Council member Lisa VanArsdale, associate wealth advisor, Lakeview Wealth Management, shares her thoughts on how to build a bigger, more diverse client base.

How LPL Advisor Albert Lopez Pays it Forward
October 04, 2018 LPL Financial
In celebration of Hispanic Heritage Month, we present the story of Albert L. Lopez, an advisor who has provided financial guidance to many business owners in the South Texas Hispanic community.

Five LPL Advisors Discuss the Value of Diversity and Inclusion for Their Practices
October 04, 2018 LPL Financial
Why is LPL's Advisory Diversity and Inclusion initiative so important? Hear five advisors explain how this work is making a difference to their practice, to their communities, and to the lives of their clients.

LPL Advisor Sees Opportunity in Diversity
October 02, 2018 LPL Financial
LPL Advisor Inclusion Council member Stanley Funches, president, INTELUS Wealth Management, suggests learning to look past your preconceived assumptions to find the vast opportunities in serving clients from different backgrounds.

LPL Financial Shares in the Vision, a Conference to Align the African American Advisor Community
September 20, 2018 LPL Financial
LPL Financial’s D&I champions converged at the Association of African American Financial Advisors annual conference. “Diverse groups of advisors want to know they’re not alone.”

LPL Financial Engages Advisors to Redefine the Service Experience
September 17, 2018 LPL Financial
“This is one of the key reasons LPL will continue to be on the leading edge of helping advisors deepen and broaden relationship they have with their clients.” – Cal Elam, EFinancial Advisors

President Trump Signs Executive Order to Enhance Retirement Security
September 06, 2018 LPL Financial
On Friday, August 31, President Trump signed an Executive Order that aims to help small businesses offer retirement savings plans to their employees.

LPL Financial Approves CKA® Designation for Advisors who Integrate Christian Values in their Client Service
August 28, 2018 LPL Financial
LPL Financial is proud to become one of the first financial services firms to approve the Certified Kingdom Advisor® (CKA®) designation to help Christian clients identify financial professionals who share their core values.

Boston Mayor Shares Best Practices with LPL
August 13, 2018 LPL Financial
More than 6,000 attendees convened in Boston for this year’s annual LPL Focus conference, a signature event in the financial services industry. LPL asked Boston Mayor Marty Walsh to share ways his administration has approached similar issues that the firm is addressing, including increasing diversity and inclusion and being accountable to stakeholders.

SC Treasurer Talks Money with Children of LPL Employees
August 10, 2018 LPL Financial
Justin Vargas, 14, never met a politician until today, when South Carolina Treasurer Curtis Loftis sat down at his table at LPL Financial’s second annual Take Your Child to Work Day. Treasurer Loftis was at the firm’s Fort Mill campus to deliver a financial literacy presentation to about 50 6th to 9th grade children of LPL employees. After chatting one on one with the treasurer, Vargas said, “He made me realize how important it is to save money.”

LPL Financial Submits Comment Letter to the SEC
August 08, 2018 LPL Financial
LPL Financial is committed to advocating for enhancements to the Securities and Exchange Commission’s Regulation Best Interest and related proposals.

Want to Win High-Net-Worth Clients? It’s Not Complicated: ‘Stick to Your Process,' says Gulf Point Advisors
August 06, 2018 LPL Financial
The financial advisors with Gulf Point Advisors have more than 130 years of combined experience supporting high-net-worth (HNW) clientele, yet only two years doing so with LPL Financial. Chris Kenny, a partner with the New Orleans-based firm, shared why the move to LPL’s independent model has been an important milestone for the firm, what it means to now be a business owner and his secrets to winning HNW clients.

LPL Advisors Discuss How Diversity Helps Drive Growth
July 31, 2018 LPL Financial
Diversity and Inclusion was an important theme during LPL’s Focus conference in Boston. Tuesday, the company hosted a panel discussion for advisors to share inclusive best practices to meet the needs of today’s diverse investor.

LPL Financial Expands Advisor Access to its Retirement Plan Consulting Program
July 31, 2018 LPL Financial
LPL Financial today announced revised business requirements that broaden access to its Retirement Plan Consulting Program (RPCP). Going forward, qualifying advisors are eligible to service retirement plans in an advisory capacity by satisfying updated criteria.

LPL’s Burt White: ‘Adaptability is the New Superpower’
July 31, 2018 LPL Financial
LPL Managing Director Burt White held court today as a general session speaker at the company’s annual Focus conference, offering unique insights into how the rapid pace of change impacts the power and shelf life of experience. White stressed that adaptability and innovation are key success factors in today’s environment.

Feedback is a Gift: Advisors Encouraged to Give the Gift that Keeps on Giving
July 31, 2018 LPL Financial
The final day of LPL’s annual advisor conference culminated with Managing Director and Chief Investment Officer Burt White taking advisors on LPL’s journey to enhance the advisor and investor experience. Executive Vice President Rob Pettman breaks down Burt’s presentation, and Senior Vice President Chris Albertson shares what he heard from advisors at the HearMe Booth, the firm’s plan to use that feedback to continue to deliver value in affiliation with LPL.

LPL Focus Conference: Advisors Share Feedback on Service, Technology and Reaching the Next Generation
July 30, 2018 LPL Financial
Several LPL advisors were spotlighted today as part of the Focus general session, sharing insights and perspectives about what’s working for their businesses and how their feedback has affected change at the firm to benefit all advisors. Advisors shared best practices to enhance the LPL service experience, encourage technology adoption and engage millennial investors.

LPL Financial’s Kalbaugh: ‘We’re Focused on Listening and Learning’
July 30, 2018 LPL Financial
When it comes to making it easier for advisors to do business with LPL Financial, Managing Director Andy Kalbaugh said feedback plays a key role in helping the company continuously improve.

Service Superstars Recognized for Exceptional Advisor Support
July 30, 2018 LPL Financial
Five LPL Financial service professionals were honored today at Focus for demonstrating extraordinary professionalism, compassion and expertise in the service experience they deliver to advisors. The Service Superstars were recognized as part of the morning’s general session programming, with approximately 3,600 advisors in attendance, and at a breakfast with advisors and executives.

A Year Later: Use of LPL Financial’s GWP Platform is Growing Quicker than Any Other Platform in LPL History
July 30, 2018 LPL Financial
This time last year, LPL announced that its advisor-enhanced digital advice solution, the Guided Wealth Portfolios platform (GWP), was available to all LPL advisors. Since its official launch in September 2017, use of GWP has grown faster than any platform in LPL history, with over 1,500 advisors using the solution as of July 2018.

CEO Dan Arnold: Culture Change Underway at LPL
July 30, 2018 LPL Financial
LPL Financial President and CEO Dan Arnold kicked off Focus 2018 today with an update on the firm’s efforts to change its culture by putting advisors’ needs front and center.

LPL Executives and Advisors Provide Their Views on Monday’s Focus Events
July 30, 2018 LPL Financial
With another day of Focus complete, leaders and advisors reflect on the day’s events. In today’s recap of Focus, Executive Vice President Matt Enyedi summarizes remarks from the general session. Both CEO Dan Arnold and Managing Director Andy Kalbaugh delivered company updates, centering around LPL’s commitment to continuous improvement. Advisors also weigh in with their thoughts.

LPL Financial Advisors Gather in Boston for Premier Industry Event
July 29, 2018 LPL Financial
Pre-conference activities kicked off today at LPL Financial Focus 2018 including the Focus on Women and Inclusion events. Listen to a recap of today’s highlights and interviews with participating advisors.

Top Producing LPL Advisor Susan Kaplan Tells Women: ‘We Need More Bravado’
July 29, 2018 LPL Financial
Susan Kaplan is one of LPL’s top producing advisors, and for decades has been a woman to watch in financial services. Today, all eyes were on her as the featured speaker at the 10th annual Focus on Women, a half-day symposium within LPL’s all-advisor conference, Focus. The symposium provided women advisors with personal and professional development opportunities and cultivates a community of women advisors.

LPL Financial’s Focus 2018 Increases Focus on Diversity and Inclusion
July 29, 2018 LPL Financial
LPL Financial’s largest advisor conference gets underway today in Boston, including two milestone events in the firm’s efforts to increase programming relating to advisor and investor diversity. The inaugural Focus on Inclusion launched to help advisors cultivate inclusive practices to serve as a growth driver. And for the 10th year, Focus on Women brought together women advisors for a half-day symposium to share best practices and build a supportive community among this advisor segment.

Advisor Winnie Sun Plans Fun, Surprises for LPL Financial’s Twitter Takeover
July 27, 2018 LPL Financial
One of the most followed financial advisors on social media will take over LPL Financial’s corporate Twitter account Monday to share photos, updates and her perspectives live from Focus, LPL’s signature advisor conference.

LPL Expands List of Integrated Third-Party Technology Solutions
July 26, 2018 LPL Financial
LPL Financial today announced that it has expanded its list of integrated third-party technology to include consolidated reporting solutions available from Black Diamond and Morningstar Office. LPL Financial advisors who choose to use either of these solutions will be able to take advantage of a seamless data flow into the tools, making it easier to provide their clients with a digital experience to enhance their client relationships.

LPL Financial Government Relations Leaders Discuss Advocacy
July 25, 2018 LPL Financial
Leaders of the LPL Financial Government Relations Team discuss the impact of the LPL PAC, key issues, and how LPL Financial advisors get involved.

ClientWorks Now Integrated with Riskalyze
July 24, 2018 LPL Financial
LPL Financial announced today that its digital platform, ClientWorks, is now integrated with Riskalzye’s risk scoring software, providing financial advisors who use the tool improved account synchronization and monitoring capabilities. LPL advisors will experience a seamless data flow from LPL’s platform into the Riskalyze solution, creating the ability to link client accounts with corresponding client profiles within the tool.

For 50 Years, Freedman Financial Has Provided ‘Financial Advice in a Language You Can Understand™’
July 24, 2018 LPL Financial
Tucked away in historic Peabody, Mass., nestled along the gateway to Salem, just north of Boston, is Freedman Financial, a family-run practice that started 50 years ago in the basement of Barry Freedman’s home. He built the business going door-to-door, determined to make a difference in the lives of his clients by listening deeply, crafting thoughtful strategies, and then guiding investors throughout their financial journey.

Family of Financial Advisors Help Bridge Gap Between Generations
July 17, 2018 LPL Financial
The theme of familial wealth is close to Jay Kabad’s heart. He spent 30 years building a financial planning firm dedicated to helping families and plans to eventually transition the business to his daughter, Anasuya.

More Mutual Fund Companies Launched on NTF Network
July 16, 2018 LPL Financial
LPL’s no-transaction-fee (NTF) network launched July 2 on its Strategic Wealth Management (SWM) platform. Included in the launch are the following mutual fund companies: AllianceBernstein, BlackRock, Columbia, J.P. Morgan, John Hancock, INVESCO, Legg Mason, MFS, Natixis, Oppenheimer and Putnam.

A Life Built on Service - To Country, To Community, To Clients
July 02, 2018 LPL Financial
LPL advisor Sid Lorio, CFP, AIF (CEO of Lorio Wealth Management in Bedford, Texas) spoke to us about how the values he learned while serving in the United States Air Force shaped his career as a financial advisor.

Rockline Wealth Management Joins LPL
June 28, 2018 LPL Financial
LPL Financial LLC today proudly welcomes Rockline Wealth Management to LPL’s broker/dealer and corporate registered investment advisor (RIA) platforms. Rockline Wealth Management reported that it served approximately $415 million of client brokerage and advisory assets as of April 20*.

From Admin to President: How One Financial Advisor Took on His Father’s Business
June 26, 2018 LPL Financial
Written on a wall in financial advisor Brandon Collier’s office is a life lesson he learned years ago from his father: “Focus on making the biggest impact and everything else will fall in line.”

Q&A with LPL’s New Head of Business Development, Rich Steinmeier
June 25, 2018 LPL Financial
Rich Steinmeier will join LPL in mid-August as LPL’s new managing director and head of business development. We sat down with him to discuss his background and experience, his new role and his thoughts about joining LPL.

Blockchain Strategy Offers an Innovative New Investment Option for LPL Financial Advisors
June 14, 2018 LPL Financial
LPL Financial recently launched a blockchain model portfolio, created as an opportunity for LPL advisors to offer an investment strategy centered around this transformative technology. As a new way to store and transfer data, blockchain has been labeled by many as the next generation of the internet.

Flood Financial Services Joins The LPL Team
June 14, 2018 LPL Financial
LPL Financial today announced that it is proud to welcome Flood Financial Services to LPL’s broker/dealer and registered investment advisor (RIA) platforms. Flood Financial Services reported that, based on prior business*, it served approximately $330 million of client brokerage and advisory assets, as of June 1.

A Father's Reward: Daughters Taking Over His Financial Practice
June 14, 2018 LPL Financial
In celebration of Father's Day, we present the story of how one dad involved his young daughters in his practice—daughters who last year, purchased the family business and made it their own.

Congresswoman Asks for LPL Advisor’s Feedback in Facebook Live Series
June 12, 2018 LPL Financial
LPL advisor, Cary Wong, CFP® participated in a Facebook Live ridealong with Congresswoman Cathy McMorris Rodgers.

Inspired by Technology
June 07, 2018 LPL Financial
Scott Seese, LPL Managing Director and Chief Information Officer is responsible for managing the firm’s technology and system applications and creating compelling digital experiences. He shares how purpose drives his work.

Financial Advisor Shares Tips For Technology Adoption
June 07, 2018 LPL Financial
Michelle Page, LPL senior vice president, Business Consulting, and Chad Waddoups, investment program manager at Salt Lake City, Utah-based Mountain America Credit Union, discuss how technology adoption creates improved member services, as well as efficiencies within the business.

How I Built a Thriving Practice Serving as Both Advisor and Advocate
June 05, 2018 LPL Financial
In celebration of LGBT (Lesbian, Gay, Bisexual and Transgender) Pride Month in June, LPL advisor Laura J. LaTourette shares how her deep understanding of the issues facing elderly and LGBT clients helps her advocate for their financial and personal needs.

LPL’s Centrally Managed Assets Exceed $35 Billion
June 04, 2018 LPL Financial
LPL advisors are increasingly taking advantage of the firm’s centrally managed advisory platforms, including Model Wealth Portfolios (MWP), Optimum Market Portfolios (OMP) and Personal Wealth Portfolios (PWP), to outsource investment management activities and build efficiency into their practices. As a result, LPL’s total centrally managed assets now exceed $35 billion as of March 31, 2018. Centrally managed assets are a subset of LPL’s total advisory assets under custody at LPL Financial LLC.

Financial Advisors Discuss Trends, Strategy for Familial Wealth Planning
May 30, 2018 LPL Financial
Approximately 150 of LPL Financial’s top wealth managers recently gathered at the prestigious Wharton School at The University of Pennsylvania for LPL’s 2018 Private Wealth Symposium. Looking to deepen their expertise in supporting high-net-worth clientele, attending advisors heard from top academics and experts in the financial industry on contemporary financial planning, investing and practice management strategies for addressing the complex needs of high-net-worth investors.

LPL Scores 100% for Inclusive Workplace Practices
May 29, 2018 LPL Financial
LPL was among a record 609 firms to achieve a 100 percent rating in the Human Rights Campaign (HRC) Foundation’s Corporate Equality Index (CEI) 2018. The CEI recognizes companies for taking steps to ensure greater equity for LGBTQ workers and their families in the form of comprehensive policies, benefits, and practices.

LPL Advocates for Protecting Senior Investors
May 25, 2018 LPL Financial
It’s estimated that one in five Americans over the age of 65 has been victimized by financial fraud resulting in millions of dollars stolen each year. Senior investors are especially at risk for financial fraud or exploitation because of diminished capacity, isolation, disability, health problems, and bereavement. This is a critical issue, and protecting senior investors is a top priority for LPL.

Advisor’s Filipino Culture Influences Her Client Relationships
May 21, 2018 LPL Financial
Growing up in the Philippines, LPL advisor Marcia Anton soaked up the wisdom of her lola, the Filipino word for grandmother. As a successful restaurateur, her grandmother wove together the tips for success with the traditional bayanihan spirit of Filipinos, which translates to community, but in practice is a devotion to caring for one's neighbors and a deep love of family.

LPL Lobbies to Increase Retirement Plan Access for Small Businesses
May 16, 2018 LPL Financial
Starting and maintaining a retirement plan can be a major undertaking for small businesses, and it can also be a huge expense. An LPL study with small business owners showed that cost and complexity are, in fact, the biggest factors preventing small business owners from offering a retirement plan to employees.

Technology Drives Value to Financial Planning
May 16, 2018 LPL Financial
Donald Stahl, LPL senior vice president, and Peg Gaston, Investment & Planning Services manager at Rochester, N.Y.-based ESL Federal Credit Union (ESL), discuss ways LPL’s technology has enabled the institution’s wealth management program to implement a successful segmentation strategy and expand its financial planning offering, which, according to ESL, helped drive growth for the program over the past two years.

LPL Settlement Structure with North American Securities Administrators Association
May 02, 2018 LPL Financial
Today, the North American Securities Administrators Association (NASAA) announced a settlement structure with us related to our compliance with “blue sky” laws. In announcing this agreement, NASAA is representing a coalition of 52 U.S. states and territories, each of which is expected to enter separate administrative orders against the firm, tracking the terms announced by NASAA today.

LPL Financial and 626 Financial Welcome Tom Anderton and Ryan Howard
April 26, 2018 LPL Financial
LPL Financial today announced that Tom Anderton and Ryan Howard have joined LPL and aligned with 626 Financial, an independent firm on LPL’s broker-dealer and corporate advisory platforms. Anderton and Howard reported that, based on prior business*, they served approximately $230 million of client brokerage and advisory assets, as of Feb. 22.

LPL Reduces Pricing Across Corporate, Hybrid RIA Platforms
April 26, 2018 LPL Financial
LPL Financial announced today that it will roll out platform enhancements to both its corporate and hybrid advisory Registered Investment Advisor (RIA) platforms in the coming year. A mutual fund no-transaction-fee (NTF) network will be added to LPL’s Strategic Wealth Management (SWM) platform, and the company will reduce pricing on its Strategic Asset Management (SAM) advisory platform.

LPL is Committed to Making it Easier for Our Advisors to Do Business with Us
April 24, 2018 LPL Financial
We continue to listen to advisor feedback to deliver a better experience. In the videos below, LPL president and CEO Dan Arnold, and managing director and divisional president, National Sales and Consulting, Andy Kalbaugh, share how the firm is focused on implementing technology, service and policy changes to make it easier for advisors to operate their practices.

LPL Financial and IHT Wealth Management Welcome Ric Kellogg
April 24, 2018 LPL Financial
LPL Financial today announced that Ric Kellogg has joined LPL’s broker/dealer platform and aligned with IHT Wealth Management (IHT), an independent advisory firm on LPL’s hybrid registered investment advisor (RIA) platform. Kellogg reported that, based on prior business*, he served approximately $123 million of client brokerage and advisory assets, as of March 29, 2018.

LPL’s Chief Diversity Officer: “Be Yourself”
April 11, 2018 LPL Financial
At LPL, nurturing a diverse and inclusive work environment is a priority to be able to attract and retain talented employees. Chief Diversity Officer Lisa Toppin recently discussed how engaging and empowering employees delivers outcomes on not just employees, but clients and communities as well.

LPL Uses Tax Reform Savings to Increase 401(k) Support for Employees
April 09, 2018 LPL Financial
LPL Financial will implement a plan to use a portion of company savings generated by the recent federal tax reform to help employees reach their retirement goals. Beginning May 1, LPL will increase its 401(k) match from 65 percent of employee contributions to 75 percent, up to eight percent of eligible wages. New employees will also be able to qualify for matching funds sooner, reducing wait time from one year of employment to six months.

LPL Experts Discuss Growing Client Relationships through Financial Planning
April 06, 2018 LPL Financial
Jason Crawford, LPL senior vice president, Financial Planning and Insurance, and Michelle Page, LPL senior vice president, Business Consulting, discuss how financial planning creates an opportunity for advisors to grow their businesses by delivering more value to existing clients, and how to incorporate the approach within their practices.

Study Shows Investors Reported Increased Value from LPL Advisors
March 27, 2018 LPL Financial
LPL Financial and its advisors were ranked No. 1 for client loyalty among financial distributors, based on a recent survey of affluent U.S. investors. The findings were recently released in a Cogent Wealth Reports (“Cogent”) study, “Investor Brand Builder,” published by Market Strategies International. The study also reported that LPL earned the No. 1 spot among each of the top five drivers that investors attributed to creating loyalty, including quality of investment advice and financial stability.

LPL Financial Welcomes Additional Top Firms and Advisors from INVEST and SII
February 28, 2018 LPL Financial
LPL Financial today announced the names of additional select top firms and advisors from National Planning Holdings, Inc. (NPH)—those from INVEST Financial Corporation and SII Investments, Inc. —that chose to join LPL. Each firm or advisor reported, based on prior business*, having served more than $100 million of client brokerage and advisory assets.

LPL Financial Completes NPH Acquisition and Welcomes Top Firms from INVEST and SII
February 26, 2018 LPL Financial
LPL Financial today announced the names of select top National Planning Holdings, Inc. (NPH) firms—those from INVEST Financial Corporation and SII Investments, Inc. —that chose to join LPL. Each firm reported that, based on prior business*, it served more than $500 million of client brokerage and advisory assets.

LPL Financial Welcomes Advisors Who Joined the Firm in Q4 2017
February 15, 2018 LPL Financial
LPL is proud to welcome advisors who chose to affiliate with the firm in the fourth quarter of 2017. Select new advisors, their approximate respective assets served* as of a recent date prior to joining LPL, and their respective former firms are listed below. The list is exclusive of those advisors who joined LPL as part of its purchase of the broker/dealer network of National Planning Holdings, Inc.

LPL Government Relations Supports Tax-Deferred Plans to Preserve Retirement Savings Options
January 18, 2018 LPL Financial
In the fall of 2017 both the U.S. House of Representatives and the U.S. Senate debated various tax reform proposals. After much back and forth, lawmakers approved the “Tax Cuts and Jobs Act,” which has been signed into law by President Trump. The law did not include rules that would have further limited contributions to tax-deferred plans in retirement plans, a proposal termed Rothification, which favors after-tax, Roth-style plans. This result was considered a decisive win by the financial services industry.

Massachusetts Advisor Discusses Practice Management Tools
December 19, 2017 LPL Financial
Betsy Johnson, Managing Partner of Flagship Private Wealth in Woburn, Mass., shared ways she has leveraged LPL's resources and consulting support to grow her business.

Program Manager Provides Insights on Recruiting the Next Generation of Advisors
December 11, 2017 LPL Financial
Julie Bates, program manager at Delta Community Credit Union in Atlanta, shares insights to recruit the next generation of advisors to a firm, bank or credit union.

LPL Advisor Shares Technology Insights
November 15, 2017 LPL Financial
LPL advisor Dawn Marie Corneau of Corneau Wealth Management in Beverly, Mass., discusses how LPL’s integrated technology platform has delivered value to her practice.

LPL’s Military Roots Shape Our Commitment to Service
November 10, 2017 LPL Financial
We’re grateful for all the veterans who have protected and served our country—and those who continue to do so. As we recognize and thank them for their service this Veterans Day, it’s also a time to reflect on our own military roots as a company formed by two veterans with a vision and passion for independence.

Military Service Deepens LPL Advisor’s Approach to Client Service
November 08, 2017 LPL Financial
When LPL advisor Russ Cesari’s daughter and son went into the military, the former Army captain offered these words of advice: “You need to take care of your people. If they know you care about them, they’ll be loyal.”

Mother-Daughter Advisor Team Discuss Their Model for Growth
November 07, 2017 LPL Financial
LPL advisors Robin Saar and Cassie Mlakar of the Investment Services team at First State Bank in Shannon, Ill. sat down with LPL’s Michelle Page, senior vice president, Institution Services, at LPL’s recent Women Advisors Leaders Forum to share their insights on a variety of topics relevant to their business.

Longtime Advisor Prepares to Transition ‘Ministry in Finance’ to Son
June 14, 2017 LPL Financial
When Joel Malakoff was 11 years old, his father sat him down to break some devastating news: there would be no more allowance. The family could no longer afford the extra $2.50 per week.

A Decade of Growth and Partnership
May 25, 2017 Robert Russo
May 14, 2017, marked an important date for Robert Russo: the 10th anniversary of his partnership with LPL Financial. Robert, CEO and managing partner of LPL-affiliated hybrid RIA firm, Independent Advisor Alliance, recently reflected on the milestone and how LPL’s independent platform helped him take his business to the next level.

Single Mom Built Successful Practice She Now Shares With Her Sons
May 12, 2017 LPL Financial
When Dorothy Bickling began her professional career in 1962, she said she never would have guessed she would be a financial advisor, much less working alongside her two sons, Spencer Betts and Andy Betts. Yet for 17 years, she has been in practice with her family at Bickling Financial Services in Lexington, Mass.

Father’s Death Put Financial Literacy into Perspective for LPL Advisor
April 28, 2017 LPL Financial
Conor Delaney’s parents were school teachers who lived paycheck to paycheck. Despite their knowledge and success in academia, they were unaware of the importance of investing or retirement planning, and they struggled just to pay the monthly bills, filing bankruptcy twice. Then, just days after Conor graduated from high school in 2003, Conor’s father died suddenly at age 52.

LPL’s Independent Platform Creates Opportunity for Women Advisors
March 29, 2017 LPL Financial
Four LPL advisors share how the independent platform empowered them to build successful businesses that work for their lives.

Understanding the New Political Landscape
January 20, 2017 LPL Financial
Today marks the swearing in of Donald Trump as the 45th President of the United States. Whether you are a Republican, Democrat, or Independent, one thing’s for sure, this inauguration is the culmination of a long, difficult presidential campaign.

LPL Financial Welcomes JBL Financial Services
December 06, 2016 LPL Financial
LPL Financial announced today that JBL Financial Services, Inc. has joined its broker/dealer and hybrid Registered Investment Advisor (RIA) platforms. The St. Louis, Mo.-based firm has aligned with Private Advisor Group, a hybrid solution supported by LPL. JBL Financial Services reported that, based on prior business, its advisors served approximately $140 million of client brokerage and advisory assets, as of Sept. 30, 2016*.

RIAs Find Ways to Adapt To Regulatory and Technology Changes
November 22, 2016 LPL Financial
At LPL’s ADVocate RIA Symposium this month, a singular theme was present throughout all facets of the business: Change management.

Around the Table Episode 6: How Diversity and Inclusion is Personal
June 13, 2019 LPL Financial
Diversity and inclusion is more than awareness. It’s more than a social responsibility. It’s more than a competitive advantage. It’s more than an employment strategy. It’s personal — and it affects everyone at some level.

Around the Table Episode 5: A Modern Community of Investors
June 07, 2019 LPL Financial
It’s no longer business as usual for financial advisors. The changing demographic composition of prospective investors requires advisors to think differently, communicate more thoughtfully, and employ greater empathy.

Around the Table Episode 4: Growing a Diverse Team and Practice
May 15, 2019 LPL Financial
To grow a diverse financial planning team and practice, financial advisors should keep one important word in mind: empathy. It can help advisors connect with prospective clients and employees from diverse backgrounds. And, numerous studies show that increasing empathy can lead to a more successful business.

LPL Financial Mother-Daughter Advisor Team Thrives in Independent Model
May 10, 2019 LPL Financial
LPL Financial Advisors Sally and Jeanette Ng impact lives by creating personal financial plans.

Around the Table Episode 3: Be Authentic and Find the Common Thread
May 02, 2019 LPL Financial
For financial advisors, one of the most important ways to reach a more diverse client base is to find the common threads that connect people. Among them: the need for financial planning services.

Around the Table Episode 2: The Difference Between Diversity and Inclusion
April 11, 2019 LPL Financial
Diversity focuses on differences. Inclusion is about understanding and embracing those differences. What are you doing to create an environment in which different kinds of clients can feel comfortable trusting you with one of the most personal areas of their lives ─ their money?

Around the Table Episode 1: Why Diversity and Inclusion is Important
March 29, 2019 LPL Financial
Diversity and inclusion. It’s the right thing to do. For financial advisors, it’s also crucial to reaching an increasingly diverse client base — and understanding and meeting their needs.

LPL Financial Attorneys Selected For Leadership Development Program to Further Diversity in the Industry
March 05, 2019 LPL Financial
“Achieving diversity and inclusion is not usually organic – it is deliberate and takes work. I am proud to have a role to further diversity and inclusion at LPL and in our industry.” — Ryder Hill

LPL Innovates with New Program to Help Financial Advisors Support Growing LGBT Community
February 25, 2019 LPL Financial
LPL Financial advisors and experts are collaborating to help the firm build new tools and resources to help bring financial advice to underserved markets.

Making a Difference: LPL Financial Foundation Helps Children Impacted by California Fires
December 20, 2018 LPL Financial
“The LPL Financial Foundation truly does make a difference in local communities and is another reason why I'm proud to have been an LPL advisor for 28 years.” - Mark Barrett, Barrett Financial Services

Future Leaders Learn from LPL Financial Volunteers
July 29, 2018 LPL Financial
As part of the kick off to LPL Financial’s annual advisor conference, dozens of LPL Financial advisors and employees spent Sunday afternoon sharing leadership skills with 50 Boston-area ninth graders. The volunteer event was hosted by LPL Financial Foundation in partnership with Boston’s Crossroads, a nonprofit organization that provides guidance, resources and leadership skills to underserved youth.

May Serve Days: LPL Employees Make a Difference in Their Communities
June 25, 2018 LPL Financial
Nearly 250 LPL employees recently volunteered in their local communities as part of the firm’s seventh annual May Serve Days, a month-long demonstration of volunteerism in LPL’s home office locations, including San Diego, Charlotte and Boston.

LPL Earns Award for Encouraging Eco-Friendly Commuting Choices
December 11, 2017 LPL Financial
The San Diego Association of Government (SANDAG) recently recognized LPL Financial for encouraging employees to choose a commute that helps reduce greenhouse gas emissions and traffic congestion. LPL was one of 67 regional employers recognized by SANDAG, and one of only 16 to achieve the award’s silver status. LPL partnered with SANDAG’s iCommute program in 2016 to identify, provide and promote eco-friendly commuting options for the more than 1,730 individuals working in LPL’s San Diego office.

LPL Financial and Junior Achievement Provide Career Skills Training to Local High School Students
November 15, 2017 LPL Financial
With the school year well underway, high school seniors are preparing to apply to colleges and thinking about their future careers. With the support of the LPL Financial Foundation, Junior Achievement and mentorship from LPL employee volunteers, 150 students are now more prepared for what lies ahead.

LPL Financial Announces 2017 National Merit Scholarship Honorees
September 11, 2017 LPL Financial
LPL Financial is proud to award the 2017 LPL National Merit Scholarship to nine rising college students. The $1,000 renewable scholarships are given annually to college-bound children of full-time LPL employees and LPL advisors. In addition, LPL awards scholarships to three students that are involved with charity partner organizations in each of LPL’s office locations.

LPL Financial Volunteer Event Builds Bridges with Students in Boston
August 25, 2017 LPL Financial
As part of LPL’s 2017 Focus conference, the LPL Foundation hosted a volunteer event to support two Boston-area nonprofits. More than 40 volunteers, including LPL advisors, executives and employees took part in mentoring at-risk youth and assembling 500 school supply kits.

Summer Interns Make a Difference Working on Community Projects
August 07, 2017 LPL Financial
College students enriched their summer internship experience at LPL by volunteering in LPL’s local communities. In San Diego, LPL interns helped the Boys & Girls Clubs of Greater San Diego host an Olympics-style competition for 650 youth at the 4S Ranch Branch. Interns working at LPL’s Fort Mill, S.C., location contributed their time to improve the Anne Springs Close Greenway, a 2,100-acre nature preserve adjacent to LPL’s Carolinas campus.

LPL Employees Join Together in Service for May Serve Days
June 26, 2017 LPL FInancial
Nearly 300 LPL Financial employees recently volunteered as part of LPL’s 6th annual May Serve Days, a month-long demonstration of volunteerism in communities surrounding the firm’s three office locations, including Boston, the Carolinas, and San Diego.

Why I Give Back: A Q&A with Matthew Peterson, LPL Research
March 06, 2017 LPL Financial
LPL Research Senior Vice President Matthew Peterson recently served as the corporate host for the LPL Financial Foundation’s fourth annual Personal Finance Symposium to educate local high school students. Organized in partnership with Junior Achievement, the event gathered LPL employee volunteers and 80 Garinger High School students to explore the fundamentals of personal finances, including topics such as saving, budgeting, and credit and risk management.

LPL Invites Students To Go “Beyond School Walls” With Big Brothers Big Sisters Mentorship Program
November 28, 2016 LPL Finanacial
LPL Financial welcomed 25 Fort Mill Middle School students to its new Carolinas campus on Nov. 16 for the launch of the Big Brothers Big Sisters “Beyond School Walls” mentorship program. This is the fifth year LPL has taken part in the program, which matches LPL employees with middle school students in need of a mentor in order to help them with life skills and a career vision.

Veterans, Animal Welfare Close to Heart for Longtime LPL Advisor
November 08, 2016 LPL Financial
Bob Fragasso is all too aware of the alarming statistics of suicide, family abuse, and Post-Traumatic Stress Disorder facing veterans returning from active duty. He served in the U.S. Marine Corps for six years before entering the financial services industry.

LPL Financial Contributes $50,000 to Anne Springs Close Greenway
November 08, 2016 LPL Financial
LPL Financial has demonstrated its continued commitment to giving back to the communities where its employees work and live by making a $50,000 donation to the Anne Springs Close Greenway in Fort Mill, S.C.