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About LPL Financial

The nation’s leading independent broker/dealer

For four decades, LPL Financial has been committed to serving the unique business needs of independent financial advisors and financial professionals working in banks and credit unions. By providing quality services, products, and training; objective research; and industry-leading technology, LPL enables its affiliated advisors and financial institutions to focus on building and maintaining wealth for their clients. One of the nation’s leading financial services companies, LPL has been ranked first among independent broker/dealers for 19 consecutive years.* Formed in 1989 through the merger of Linsco and Private Ledger (founded in 1968 and 1973, respectively), LPL was established to serve as the Main Street investor’s alternative to Wall Street. Today LPL serves more than 14,000 advisors and more than 700 financial institutions, proudly continuing its heritage of offering independent advice without conflicts of interest or proprietary products.

Supporting Financial Advisors

LPL offers financial advisors integrated technology, comprehensive clearing and compliance services, practice management programs and training, and independent research platforms. Through these offerings, LPL is able to reduce complexity for advisors running their own practice, thereby allowing them to focus on what they do best—help their clients to attain their financial goals and fulfill their life dreams.

Supporting Financial Institutions

As the nation’s largest provider of insurance and investment services to banks and credit unions the products, tools, services, and flexibility financial institutions need to develop customized investment programs for their clients. And, clients benefit from the convenience of having their diverse financial needs met at the bank or credit union they already know, trust, and do business with.

Serving Main Street with Independent Advice

An experienced, proven, and objective partner, LPL has no proprietary products, investment banking business, or any other conflicts that get in the way of providing independent, objective recommendations—just one way LPL differs from Wall Street firms. LPL also delivers in-depth research and timely perspectives about the ever- changing global economic marketplace, helping advisors help their clients understand and adjust to financial developments.

Learn more at www.lpl.com

* Based on total revenues as reported by Financial Planning magazine, June 1996-2015

1 Based on number of financial institutions served as reported in a 2012 Kenneth Kehrer study

Securities offered through LPL Financial, a Registered Investment Advisor, member FINRA/SIPC