LPL Financial Compliance Solutions for Financial Advisors
Count on LPL Financial’s experienced compliance team to help advisors like you stay ahead of ever-changing regulations and maintain a compliant practice with customized support, training, oversight, and guidance.
Your Strategic Partner
Financial industry rules and regulations are complex and constantly changing. With a supportive team behind you, you can rest assured that your compliance requirements are covered.
LPL’s expert Supervision team is backed by our advanced platform of risk and compliance management, services, and technology — all designed to protect you and your business.
You’ll also be supported by a dedicated team of supervisory principals to assist with day-to-day supervisory responsibilities.
How We Support You
With a collaborative partner to help you stay compliant and keep up with regulatory changes, you’ll have more time to serve your clients’ needs and run your practice with confidence.
Central Supervision
This team comprises first-line supervisors for specific activities, including:
- Trade blotter
- OSJ review tool tasks
- Advisory business
- Non-electronic correspondence
- Direct business
- Account level review
Complex Products Supervision
This team provides first-line supervisors for specific products, such as:
- Variable annuities
- Fixed index annuities
- Alternative investments
- Structured products
- Leveraged and inverse exchange-traded funds
Advisor Communications
This team assesses new LPL advisors, including:
- Outside business activities
- Private securities transactions
Other LPL Offerings
Tracking # 567220