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RIA Compliance

LPL Financial eases the burden of Registered Investment Advisor (RIA) compliance

Compliance is a major responsibility, and it can loom even larger if you are moving away from an environment where compliance has been handled for you.

From the start, LPL Financial simplifies and organizes compliance responsibilities for your RIA or Hybrid RIA practice by providing automated tools to aid compliance and record imaging and retention systems. LPL Financial works collaboratively with third-party consultants and law firms, who can assist your firm with registration and implementation of a best-practices compliance program.