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Who is LPL Financial?

LPL Financial

LPL Financial was founded with a pioneering vision: to help entrepreneurial financial advisors establish successful businesses through which they could offer truly independent financial guidance and advice. Today we provide an integrated platform of proprietary technology, brokerage, and investment advisory services to over 12,500 financial advisors as the nation’s largest independent broker/dealer,* making us a leading distributor of financial products in the United States. In addition, we support over 4,000 financial advisors with customized clearing, advisory platform, and technology solutions.

Even as our firm has grown over the years, we remain singularly focused on helping financial advisors to manage the complexity of their investment practices so they can better serve their clients in achieving important financial goals. And, because we do not offer proprietary products, LPL Financial enables the independent financial advisors, banks, and credit unions with whom we partner to offer their clients truly objective, conflict-free advice. Our open-architecture platform provides our customers with access to thousands of commission, fee-based, cash, and money market products manufactured by hundreds of third-party product sponsors.

Our customers

For more than 20 years, the LPL Financial Commitment Creed has been central to our culture and reflects our firm’s singular focus on serving the customer. Our 2,700 employees in Boston, Charlotte, and San Diego come to work every day focused on living this commitment.

Though LPL Financial was originally established to serve the independent advisor, today we serve three customer groups:

  • Independent Advisor Services supports more than 12,000 independent and registered investment advisors.
  • Institution Services supports financial advisors at approximately 670 regional and community banks and credit unions.
  • Custom Clearing Services supports approximately 4,000 advisors affiliated and licensed with insurance companies through a unique outsourcing arrangement.

We tailor our programs and services to the diverse needs of our customers, enabling them to remain focused on understanding and meeting their clients’ needs.

* As reported in Financial Planning magazine 1996-2011, based on total revenues.

All Financial Consultants at Pence Wealth Management are Registered Representatives with, and securities and Advisory services offered through LPL Financial, a Registered Investment Advisor, Member FINRA & SIPC. Financial Planning offered through Pence Wealth Management, a Registered Investment Advisor and separate entity from LPL Financial. The LPL Financial representative associated with this website may only discuss and/or transact securities business with residents of the following states: Alaska (AK), Alabama (AL), Arkansas (AR), Arizona (AZ), California (CA), Colorado (CO), Connecticut (CT), Delaware (DE), Florida (FL), Georgia (GA), Hawaii (HI), Idaho (ID), Illinois (IL), Kansas (KS), Kentucky (KY), Louisiana (LA), Massachusetts (MA), Michigan (MI), Minnesota (MN), Mississippi (MS), Missouri (MO), Nebraska (NE), Nevada (NV),

New Hampshire (NH), New Jersey (NJ), New Mexico (NM), New York (NY), North Carolina (NC), North Dakota (ND), Ohio (OH), Oklahoma (OK), Oregon (OR), Pennsylvania (PA), Rhode Island (RI), South Carolina (SC), Texas (TX), Utah (UT), Virginia (VA), Washington (WA), Wyoming (WY), Washington (DC)

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