How we are regulated
LPL Financial is regulated by Federal, State, and self-regulatory agencies.
Financial professionals (and licensed staff members) transitioning to LPL — use the transition portal to track your transition progress. You’ll also find valuable resources to help you every step of the way.
LPL financial professionals — take advantage of LPL’s business process platform, ClientWorks, to manage your business more efficiently. Open accounts. Use trading tools. Access the Resource Center, and more.
To send the Relationship Summary (CRS) to any prospect or existing client via email or regular mail, or to report hand delivery to a prospect or existing client.
Clients of LPL financial professionals — access your account 24/7 from any device, anytime, and anywhere, and get real-time clarity into your portfolios, positions, transactions, statements, and more with Account View.
One of the most important things you can do prior to investing is to educate yourself. We offer resources that can help.
We provide our financial professionals with tools to help you, including exceptional research and support for tracking and monitoring account performance.
LPL Financial is regulated by Federal, State, and self-regulatory agencies.
In addition to our efforts to help safeguard your accounts, your own actions and awareness are also critical to keeping funds properly invested.
One of the most important things you can do prior to investing is to educate yourself. We offer resources that can help.
In addition to our efforts to help safeguard your accounts, your own actions and awareness are also critical to keeping funds properly invested.
We provide our financial professionals with tools to help you, including exceptional research and support for tracking and monitoring account performance.
LPL Financial is regulated by Federal, State, and self-regulatory agencies.