Performance and Industry Recognition:
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If you have a brokerage account with me, I am also partnered with LPL Financial. LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve,* supporting nearly 20,000 financial advisors, and approximately 800 institution-based investment programs and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
*Top RIA custodian (Cerulli Associates, 2020 U.S. RIA Marketplace Report); No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2021); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 Company as of June 2021. LPL and its affiliated companies provide financial services only from the United States.
Financial Regulating Bodies to Know
The asset management industry is largely governed by two bodies. Here’s a bit more on those agencies but please don’t hesitate to ask if you have questions about my licensing or qualifications.
U.S. Securities and Exchange Commission
The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public’s trust. Learn more at sec.gov.
Financial Industry Regulatory Authority, every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. Learn more at finra.org or brokercheck.finra.org.
It’s important to note that other agencies regulate the financial industry including the Federal Reserve, the U.S. Treasury Department and the FDIC. There are national and state authorities and agencies and while may have different focuses, know that there are organizations helping protect the interests of investors.