1. THE POWER OF AFFILIATION
Supporting Your Financial Advisor Who Serves You

2. Effective wealth management is enhanced by the right partner
Effective wealth management is enhanced by the right partner. In the same way you benefit from the knowledge and guidance of your financial advisor, your advisor benefits from the insights and oversight of LPL Financial. 2
Objective market research
Compliance oversight
Innovative technology
Ongoing practice consulting and training
Speaker Notes:
Good Morning/Afternoon/Evening,
My name is (Insert name).
I have invited you here today to give you an overview of my firm (Compliance Approved DBA name) and my business partner, LPL Financial.
As the nation’s largest independent broker/dealer, an RIA custodian, and leading provider of third-party investment services to financial institutions, offering insurance and investment services to approximately 750 banks and credit unions nationwide, LPL Financial supports the knowledge and experience of their advisors with an vast catalog of services and resources, such as:
Objective market research
Compliance oversight
Innovative technology
Ongoing advisor practice consulting and training
With this partnership, I have chosen to strengthen and elevate the services that my firm provides to help guide you toward your financial goals.
1 Based on total revenues, Financial Planning magazine
2 Source: 2015/2016 Kehrer Bielan TPM Survey. Based on financial institution market share.

3. HISTORY OF EXCELLENCE 3
LPL was founded on the core principle of supporting advisor independence.
Legacy built on objective financial guidance
Largest independent broker/dealer in the country*
Supports advisors who partner with their clients
Speaker Notes:
LPL Financial was formed in 1989 through the merger of Linsco and Private Ledger (founded in 1968 and 1973, respectively). LPL was built on the belief that objective financial guidance benefits everyone—and advisors are best able to serve clients when they have access to innovative tools and solutions that work for them.
As we continue to grow and look to the future, LPL is committed to remaining a trusted and unbiased resource for advisors and our clients. The financial services industry, markets, and world are changing fast. People are living longer and facing more complex financial needs.
At the same time, investors are increasingly seeking to partner with financial advisors who offer unbiased guidance to help them face today’s financial planning challenges. These factors mean that providing Americans with independent investment advice has never been more important than it is today.
Today, LPL Financial is the largest independent broker/dealer in the country, providing a wide range of innovative business solutions to a network of more than 14,000 financial advisors. As this company grows, their commitment to the philosophy of objective guidance propels their success and will continue to shape our future.
* As reported by Financial Planning magazine, June , based on total revenue.

4. OUR ACCOUNT PROTECTION PLEDGE4
When you invest with an advisor who affiliates with LPL, your accounts are protected with multiple levels of security:
Securities Investor Protection Corporation (SIPC)*
London Insurers (Lloyds of London syndicate)
Insured Cash Account Program
Speaker Notes:
LPL Financial provides multiple levels of security for your investments.
LPL’s SIPC membership provides account protection up to a maximum of $500,000 per customer, of which $250,000 may be claims of cash.
The account protection applies when an SIPC member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments.
London Insurers provides securities protection to cover the net equity of customer accounts up to an overall net equity of customer accounts up to an overall aggregate firm limit of $575 million.
With the multi-bank Insured Cash Account Program, deposits are eligible for up to $1.5 million of deposit insurance for individual and trust accounts and up to $3 million of deposit insurance for joint accounts, both cover through the FDIC.
The Insured Cash account deposits are FDIC insured to a maximum amount of $250,000 (including principal and accrued interest), and is aggregated with all other deposits held by you in the same recognized legal capacity at the same bank. Other investment holdings are subject to loss.
* The account protection applies when an SIPC member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments. An explanatory brochure is available at

5. ROBUST TOOLSET 5
Your advisor is supported by a powerful toolset, ranging from comprehensive oversight to technology solutions.
Oversight and governance
Direct access and simplified statements
Research and insights
Speaker Notes:
LPL is dedicated to providing advisor with powerful tools and resources to assist clients in efficient ways.
First, I would like to talk about oversight and governance. Protecting the best interests of investors is of utmost importance to us. LPL is devoted to serving our clients at a high ethical level. We have made a long-term commitment to enhance our risk management and compliance structure.
Secondly, I will address direct access and simplified statements for our clients.
Our systems give you direct access to real time account data via our Account View system. This system access will only allow you to track your investments. We provide consolidated statements and end-of-year summary statements. All of your important purchases, sales, cost basis, income, and dividend distribution is contained in one report.
Lastly, I will talk on Research and Insights.
Advisors are given access to unbiased market analysis from the LPL Research Team. This team is one of the largest and most tenured research groups among independent brokerage firms. The teams’ knowledge of the market and economy allows them to provide insights and recommendations to advisors across a range of investment products. Because LPL Financial does not have a vested interest in any particular products, the research and insights are objective.

6. CONFIDENT CHOICES 6
LPL offers no proprietary investment products and engages in no investment banking activities.
Objective research and market insights
Recommendations that address your unique financial situation
Speaker notes:
As a client of (Compliance -approved DBA name) you can invest with confidence, knowing the guidance you receive is objective and grounded solely in the needs of your unique financial situation. The LPL Research team regularly reviews investment products, ensuring that the recommendations that I make meet rigorous standards of due diligence. I am then free to recommend investments from some of the nation’s top providers in financial planning, high net worth, individual investments, insurance, and much more.

7. LPL FINANCIAL ACROSS AMERICA7
Independent Advisor
Banks and Credit Unions
Speaker Notes:
LPL has a robust network of advisors servicing the needs of investors across the country. Take a look at this map. LPL is represented in all fifty states and growing. (Compliance-approved DBA name) and LPL are ready to work together to assist you with your unique financial situation.

8. About LPL Financial
LPL Financial, a wholly-owned subsidiary of LPL Financial Holdings Inc. (NASDAQ:LPLA), is a leader in the retail financial advice market and provided service to approximately $501 billion in advisory and brokerage assets as of November 30, LPL is one of the fastest growing RIA custodians and is the nation's largest independent broker/dealer (based on total revenues, Financial Planning magazine, June ). The company provides proprietary technology, comprehensive clearing and compliance services, practice management programs and training, and independent research to more than 14,000 independent financial advisors and over 700 banks and credit unions, enabling them to help their clients turn life's aspirations into financial realities. Advisors associated with LPL also serviced an estimated 45,000 retirement plans with an estimated $129 billion in retirement plan assets, as of September 30, LPL also supports approximately 4,200 financial advisors licensed and affiliated with insurance companies with customized clearing, advisory platforms, and technology solutions. LPL and its affiliates have more than 3,200 employees with primary offices in Boston, Charlotte, and San Diego.
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9. THANK YOU Are there any questions?9
Are there any questions?
Contact Information John Smith LPL Financial Tel: (555) x5555 Cell: (555)
Speaker Notes:
Thank you for your time with me today. Are there any questions or comments?