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LPL Financial Regulatory Oversight

If you choose to work with an LPL Financial advisor, you’ll be working with a financial 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

At LPL, we’re committed to helping our advisors 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 your LPL advisor 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 Advisor Ethics and Codes

Trust in your advisor is essential for a good working relationship. Knowing your advisor adheres to legal and ethical standards is important in building that trust.

That’s another distinctive characteristic of LPL advisors.  

LPL advisors abide of LPL’s Code of Conduct and its Code of Ethics, which requires them to comply with all applicable federal securities laws. Depending on the certifications and professional designations they hold, LPL advisors also adhere to various industry standards. For example, any advisor 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 advisors also 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 advisor.

In addition, LPL advisors 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 advisors here.

Find an Advisor

If you’re ready to find an LPL advisor, use the LPL Find an Advisor tool.