Investors New to LPL Financial

LPL Financial is a Financial Industry Regulatory Authority (FINRA) member firm subject to the federal securities laws and the rules of industry regulatory organizations. We work hard to carry out our obligations to protect client assets in our custody with the utmost care and scrupulous adherence to financial protection rules, including those governing the segregation of advisor assets.

Learn about our SIPC protection and other securities protection.

Each year, we help thousands of financial advisors like yours move their business to LPL. While each advisor has their own reasons for the switch, the deciding factors we hear most often are: 

• Client-centered financial advice. Because we don’t offer proprietary products or have investment banking operations, LPL advisors are free to provide guidance that’s in your best interest and aligns with your investment goals.
• Client-centered service. Advisors can leverage our innovative tools, technology, regulatory expertise, back-office support, and more to simplify account management, boost practice efficiency, and deliver personalized service experiences. 
• Client-centered culture. Our employees give their all each day to make a difference in the lives of our advisors and their clients. We value transparency, a sense of inclusion and belonging, working ethically, and a commitment to excellence.

Your relationship with your advisor won’t need to change. They will continue to give you sound advice based on your financial goals — but now they’ll have more choices. 

You will also have:

• Independent research for personalized guidance
• Access to a wide range of non-proprietary products
• Account View access to your account information
• Multiple levels of security to keep your accounts safeguarded

In most cases, all of your accounts should be easily transferable with minimal paperwork. Once your accounts are opened, you can sign up for the online portal Account View. To learn more about how you can sign up for Account View, please refer to this how-to guide to walk you through the process.

No, there are no fees to you with transitioning your accounts.

Yes, virtually all of your holdings will transfer over.

Your financial advisor may have additional questions and you may have to fill out additional paperwork if you have multiple accounts. In most cases, all forms can be completed with eSignature and you will not have to go into your advisor's office to finalize the transfer of your accounts.