I understand that you may have questions about your investment accounts at LPL Financial (LPL). LPL is a broker/dealer registered with the Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority, Inc. (FINRA) and the Securities Investor Protection Corporation (SIPC). As a registered broker/dealer, LPL is subject to regulatory oversight and internal controls that are designed to protect your accounts.
LPL’s regulatory obligations and controls include the following:
This protection and coverage for our customer accounts reflects our strong commitment to serving your investment needs. As always, our focus remains on our financial professionals and financial institutions and their clients and on helping you pursue your financial needs and goals. I hope this letter provides you with the information you need. I encourage you to speak with your financial professional if you’d like more details.
Managing Director, Chief Legal and Risk Officer