A Little About

LPL Financial (NASDAQ: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients. For more information about LPL Financial, visit www.lpl.com.

• Top RIA Custodian

(Cerulli Associates, 2020 U.S. RIA Marketplace Report)

• No. 1 Independent Broker-Dealer in the U.S

(Based on total revenues, Financial Planning magazine June 1996-2021)/h3>

• No. 1 Provider of Third-party Brokerage Services to Banks and Credit Unions

(2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report)

Fiduciary Focus

An experienced retirement plan representative can offer you deep industry insights and knowledge of the regulatory landscape that help enable you to make informed choices for your plan’s individual needs.

An experienced retirement plan representative can deliver proprietary research that’s designed to help you tap the world’s most talented investment management teams.

An experienced retirement plan representative firm is committed to providing what you and your employees deserve and expect—great financial education at enrollment and one-on-one meetings.

1989

LPL was Founded in 1989

20K+

Financial Professionals Serviced

800+

Financial Institution Partners

FORTUNE 500

Ranked no. 442 on the Fortune 500 List

Data as of Auguest 2, 2022