My Relationship With LPL Financial

I've aligned with with LPL Financial due to their solid balance sheet, track record for compliance, and back office support which allows me to continue to do what I do best-provide advice to my clients.

My relationship with LPL Financial provides many benefits:

Independent Research

LPL's Research team provides research on mutual funds, separate accounts, annuities, alternative investments, equities, fixed income securities, and more. With a focus on performance, service and transparency, the LPL Research team delivers timely perspective on the ever-changing economic marketplace, assisting me in helping clients understand and adjust to the latest developments.

Integrated Technology

LPL's integrated, web-based technology platform allows me to manage critical aspects of our business while remaining highly efficient and responsive to my client's needs. Once time consuming processes such as account opening and management, document management, transaction execution and portfolio monitoring-are automated to improve efficiency and accuracy.  With LPL focused on technology, I can focus on addressing client's investment objectives.

 Practice Management Programs and Training

LPL constantly seeks ways to help me improve my client service model. Their experience and leadership in my industry, as well as the size and diversity of their customer base, gives me the ability to benchmark the best practices of successful financial advisors and financial institution-based investment programs. In addition, LPL is able to dedicate an experienced and diverse set of professionals to work with helping me build and manage my firm and client relationships through one-on-one training and group consulting.

Comprehensive Clearing and Compliance Services

LPL custodies and clears my client's investment portfolios, providing an enhanced client experience and expedited processing capabilities-all backed by robust and responsive centers and operation organizations focused on providing timely, accurate and consistent support. In addition, LPL's 300 person compliance team provides oversight of many diverse compliance and monitoring requirements. They serve as a true business partner to me and my firm, working closely with me and acting proactively on my behalf so I can run a compliance practice. By seamlessly integrating compliance functionality into my practice, they enable many of my procedures to be fully automated. With LPL focusing on back office services, I am able to focus on my client's future rather than on logistics.