LPL Government Relations

We support our financial advisors and their clients by developing and advocating positions on issues affecting the delivery of objective financial guidance and advice.
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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.​​​ ____


Latest News

Recent Updates


LPL Financial submitted a comment letter with the Securities and Exchange Commission (SEC) regarding Regulation Best Interest and related proposals. In the letter, LPL offers its general support for the SEC’s proposals and efforts to adopt a best interest standard for broker-dealers. LPL shares the SEC’s goal of enhancing investor protection, while also preserving access and choice between advice models and product types, and appreciates having had the opportunity to share its comments and suggestions in support of this common goal. Read the full SEC comment Letter


Each year, LPL identifies key policy initiatives based on the impact they have to advisors, the firm and the industry. In this podcast, hear from LPL Government Relations leaders Peggy Ho, executive vice president, and Nicole Petrosino, senior vice president, discussing their advocacy work in Washington D.C. and across the country to raise awareness and provide LPL’s position on key issues impacting the financial services industry.

They share why relationships matter in Washington, LPL’s role to affect outcomes on issues such as tax reform and the Senior $afe Act, and how advisors can get involved. Listen here.

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

© 2018 LPL Financial