LPL compliance and regulations
We’re committed to helping LPL's financial professionals provide their clients with objective advice. That includes adhering to all relevant industry regulations and rules. It’s among the many ways we help ensure the guidance you receive from an LPL financial 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 Industry Regulatory Authority (FINRA)
- Securities Exchange Commission (SEC)
- Securities Investor Protection Corporation (SIPC)
- Municipal Securities Rulemaking Board
Financial professional ethics and codes
Trust in a financial professional is essential for a good working relationship, and trust is built on knowing that a financial professional adheres to legal and ethical standards.
LPL financial 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 professional with the Certified Financial Planner (CFP) designation is subject to standards set by the CFP board. This includes its Code of Ethics and Standards of Conduct.
LPL financial 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 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. Learn more about the attributes of LPL financial professionals.
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