LPL Financial’s Responsible Business Practices
How we conduct business at LPL is important, and it goes well beyond abiding our code of conduct and code of ethics. We’re building on a strong foundation for a more responsible, sustainable future.
Our Values
A Business Built on Ethics and Independence
LPL is an innovative firm in the financial services industry. How so? The advisors, large firms, and institutions that affiliate with LPL are free to build their business on their terms—all while doing what’s right for their clients.
LPL doesn’t offer proprietary investment products or have investment banking operations. Instead, we provide our financial professionals with personalized advice. Our team of experts consist of analysts, strategists, economists, and investment specialists who deliver thought leadership and relevant, timely market and economic insights.
Code of Conduct
Every day at LPL, in every business unit and in every role, there are choices to make, challenges to overcome, and ideas to take to the next level. Through our Code of Conduct, we guide financial professionals and employees to do business ethically.
Our Code of Conduct ensures that we:
- Provide information that is accurate, complete, relevant, timely, and understandable. This helps ensure accurate, timely, and understandable disclosure in reports, documents, and public communications.
- Comply with the rules and regulations of federal, state, provincial, and local governments and other private and public regulatory agencies.
- Act in good faith, responsibly, with due care, competence, and diligence, and without misrepresenting material facts or allowing one’s independent judgment to be subordinated.
- Respect the confidentiality of information and never use this information for personal advantage.
- Share knowledge and maintain skills important and relevant to shareholders’ needs.
- Proactively promote and demonstrate ethical behavior as a responsible partner among peers, in the work environment, and in the community.
- Achieve responsible use of and control over all assets and resources employed or entrusted.
The LPL Code of Conduct also helps us embrace and practice our corporate values—which ultimately guide us in achieving our mission.
Strong Regulatory Track Record
LPL maintains high ethical standards in the ever-changing regulatory landscape. We continue to add resources to build on our longstanding record of helping protect our financial professionals and their clients.
