LPL Financial Regulatory Oversight

If you choose to work with an LPL financial advisor or professional, you’ll be working with a professional backed by the nation’s largest independent broker dealer — and regulated by federal and state agencies and self-regulatory organizations.

LPL compliance and regulations

We’re committed to helping LPL's financial advisors and professionals provide their clients with personalized advice. That includes adhering to all relevant industry regulations and rules. It’s among the many ways we help establish the guidance you receive from an LPL financial advisor or professional aligns with your needs and objectives.

LPL is regulated by federal, state, and self-regulatory agencies. To learn about some of these organizations, click on the links below.

Financial professional ethics and codes

Trust in a financial advisor or professional is essential for a good working relationship, and trust is built on knowing that your financial advisor or professional adheres to legal and ethical standards.

LPL financial advisors and professionals abide by LPL's Code of Conduct [PDF] and Code of Ethics [PDF], which requires them to comply with all applicable federal securities laws. Depending on the certifications and professional designations they hold, they must also adhere to various industry standards. For example, any financial advisor or professional with the CERTIFIED FINANCIAL PLANNER™ (CFP®) certification  is subject to standards set by the CFP Board. This includes its Code of Ethics and Standards of Conduct.

LPL financial advisors and professionals have a passion for doing their work ethically in line with LPL’s core values. For you that means the integrity and professionalism you expect is what you will get when you work with an LPL financial advisor or professional.

LPL financial professionals focus on doing what’s right for you. They’ll help you understand the differences between advisory and brokerage services, how your relationship with them will work, the services they’ll provide, and any associated fees, and disclose potential conflicts of interest.

Find an LPL financial advisor or professional

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