Broker Check

FAQs

Why did you choose LPL Financial as your broker/dealer?

Your financial well-being is our top priority, so we each want our practice to reflect the ongoing changes and opportunities within the industry. Our partnership with LPL gives us the independence and flexibility to bring new ideas to the table and do what’s best for you. As our broker/dealer, LPL provides cutting-edge technology, resources and investment choices that allow each of us to provide an even greater level of service that’s tailored just for you.

We each decided to launch this new independent office by affiliating with LPL Financial—a Fortune 500 company and one of the largest financial service firms in the country, safeguarding over $1 trillion in client assets. This arrangement will allow us to utilize the strength and leverage of a major firm and build a shared culture, with a team and resources to best partner with you.

LPL’s comprehensive support, technology and research, along with their model of transparency and dedication to independence and choice, allow each of us to provide you with a wide range of diligently evaluated, non-proprietary products. In fact, you will now have access to many investment options that previously were not available to you by virtue of LPL’s scale. As a leader in the retail financial advice market, we are confident that we are being fully supported by a firm who can match our high standards.

Where will my assets be held, and how safe will they be?

As a Financial Industry Regulatory Authority (FINRA) member firm, subject to the federal securities laws and the rules of industry selfregulatory organizations, LPL Financial prioritizes its obligations to protect client assets in their custody with the utmost care and scrupulous adherence to financial protection rules, including those governing the segregation of client assets. LPL provides an enormous catalog of services and resources, as well as a long history of financial stability. The LPL Financial SIPC Membership provides account protection up to a maximum of $500,000 per customer, of which $250,000 may be claims for cash. An explanatory brochure is available at www.sipc.org. Additionally, through London Insurers, LPL Financial accounts have additional securities protection to cover the net equity of customer accounts up to an overall aggregate firm limit of $750,000,000 subject to conditions and limitations. The account protection applies when a SIPC member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments.

How is my personal information protected?

To protect your personal information from unauthorized access and use, LPL Financial uses security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. LPL’s online environment uses security technologies, including layered security and access controls over personal information. For further information, please visit LPL’s Privacy/Security page at: www.lpl.com/disclosures/privacy-security.html

*Based on total revenues, Financial Planning magazine, June 1996 – 2022. Fortune 500 Company as of June 2021.
**Includes 578M in advisory assets as of June 30, 2021.

Securities and advisory services offered through LPL Financial, a registered investment advisor. Member FINRA & SIPC.