Broker Check

Account Protection

LPL Financial is a member firm of the Securities Investor Protection Corporation (SIPC). Membership provides account protection up to a maximum of $500,000 per client, of which $250,000 may be claims for cash. For an explanatory brochure, please visit Additionally, through London Insurers, LPL Financial accounts have additional securities protection to cover the net equity of client accounts up to an overall aggregate firm limit of $575,000,000, subject to conditions and limitations. The account protection applies when a SIPC member firm fails financially and is unable to meet its obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments. This extensive coverage reflects a strong commitment to serving your investment needs.

Industry Regulations on your Advisory Account

At the time you opened your investment advisory account with us you received certain program disclosure documents as required by industry regulations.  This information described our broker/dealer, LPL Financial, and the advisory account in which you were investing.
As you are aware, you continue to have an advisory relationship with us in which you receive ongoing investment advice for a fee.  As a result, LPL Financial is obliged to offer you these documents on a recurring annual basis.
Feel free to request a complimentary copy of our current disclosure document – namely the ADV Part II –  please call or email our office and we will email you a copy.  If you prefer a paper copy, you may send a written request that includes your account number directly to LPL Financial at:

LPL Financial
ADV Part II Client Requests
P.O. Box 501056
San Diego, CA  92150-1056