ABOUT US
Our Broker / Dealer
What is a Registered Investment Adviser–broker/dealer?
A Registered Investment Adviser–broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.
Why LPL Financial®?
As a Fortune 500 company** supporting more than 32,000 financial advisors* and 1,100 financial institution partners,* LPL Financial has the leadership, size, and strength to help us deliver the solutions our clients need. LPL services and custodies approximately $2.6 trillion in total advisory and brokerage assets.*
Our decision to work with LPL means our firm remains independent and free to act in your best interest. LPL offers no proprietary products, so we’re able to provide objective recommendations based on your needs and goals, not on pressure to promote any particular product or strategy.
LPL was founded on the principle that it should work for advisors, not the other way around, and it keeps advisors at the center of everything it does. That means we have the flexibility and control to run our practice our way, while staying focused on our relationships with you and on delivering personalized advice.
How LPL Financial helps us help you
LPL serves as our back-, middle-, and front-office partner, combining strategic solutions, services, and tools. That infrastructure frees us to spend less time on operations and more time providing you with the guidance and service you deserve.
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Investment advice and research.
Because LPL has no proprietary products, we’re free to provide objective recommendations. LPL’s experienced research team offers timely, independent market research that supports your needs and goals.
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Comprehensive support.
LPL acts as our self-clearing partner, compliance and risk management partner, business solutions partner, and wealth management partner, so we have the resources to serve you well at every stage of our relationship.
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Technology.
LPL’s automated systems for account opening, document imaging, transaction execution, and account rebalancing help us work more efficiently and accurately on your behalf. LPL’s size allows it to continually invest in financial technology, resources, and staff.
* As of June 2026
** Fortune 500 ranks U.S. companies based on a review of the prior year’s total revenue and factors such as profits after taxes, year-end assets and total stockholders’ equity.