Why LPL Financial

In 2010, after thirty years in the business, I set out to see just what was available behind the scenes at other firms in the form of technical and administrative support that might help me to deliver an uncompromising level of service to my clients.  

At the forefront of my vetting process were two primary areas of focus. The first was technology.  I spoke with IT departments to get a sense of their overall willingness to work with advisors and clients to implement new technologies as well as their capabilities and willingness to move forward with new software applications as they evolve. The second was compliance.  By looking at compliance manuals of different firms I was able to cut through the veneer of well decorated offices, public image, and financial incentives to get an uncluttered view of their mission, methods, and regulatory interpretations. 

This approach uncovered an eye-opening range of variances among financial service firms and revealed LPL Financial Services as the forward looking backup I was looking for.  I elected to move my practice from UBS to LPL Financial Services.  To this day, LPL has continued to confirm that my vetting methodology was solid and that I have found the best team an advisor could ask for.