We believe in objective financial advice and we advocate on issues impacting our advisors, their clients, and the financial services industry.
By engaging with legislators and regulators on both a state and federal level, we are able to directly shape the future of the financial services industry.
Together we are making a difference. Our voices are being heard on important policies that affect the financial service industry.
Our team spent the spring and summer advocating for our advisors and their clients. We are working closely with policy makers in DC ahead of the August recess. As state activity increases we are monitoring issues that could potentially impact investors. Recently, LPL submitted comment letters regarding the
NJ Bureau of Securities proposed fiduciary rule and with the
Utah State Senate on their proposed tax on services.
Attending Focus 2019 in San Diego? Visit our team at the Government Relations booth and register for our breakout (HO-80) to learn more about how we are advocating for you!
Who We Are
Our Government Relations team is dedicated to advancing LPL Financial’s interests with legislators and regulators in Washington, DC and the 50 states through advocacy and education. Through consistent engagement, and supported by the voice of the LPL Political Action Committee, we are able to position LPL as a recognized thought leader and valued resource on issues affecting the delivery of objective financial guidance and advice. With offices in Washington, DC, Boston, San Diego, Charlotte, and Cleveland, and by leveraging our 50-state network of financial advisors, we are well aligned to meet advisors' needs by addressing critical policy initiatives.
“I am proud of the LPL team and their commitment to providing access to independent financial advice by supporting the growth of our businesses and the protection of our industry.”
-David Armstrong, president and co-founder, Monument Wealth Management
“There is strength in numbers and if we support the LPL PAC, the LPL Government Relations team supports us by advocating on issues that impact our business and our industry.”
-Cary Wong, financial advisor in Spokane, WA
“We appreciate the support of the LPL Government Relations team. I believe independent financial advice should be accessible to everyone and I am confident that working together we can ensure the financial success of our investors.”
-Ken Van Leeuwen, CFP, Managing Director / Founder, Van Leeuwen & Company