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How Are We Regulated

LPL is regulated by Federal, State, and self-regulatory agencies, including the following:

  • Financial Industry Regulatory Authority (FINRA)

  • Securities Exchange Commission (SEC)

  • Securities Investor Protection Corporation (SIPC)
  • Municipal Securities Rulemaking Board

FINRA Securities Helpline for Seniors: (240) 386-HELP (4357)

Resources

  • Before You Invest
  • Preparing for Your Appointment
  • How Are We Regulated
  • Blog
  • FAQ

Contact Us

We would love the opportunity to become your trusted advisor.

Get to know us

Phone: (972) 980-6541
Fax: (972) 980-2318
Toll Free: (888) Mark-LPL

Email: Mark.Larimore@LPL.com

6220 Campbell Road, Suite 301, Dallas, Texas 75248

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Securities and Advisory services offered through LPL Financial, a registered investment advisor. Member FINRA & SIPC.

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