Strength and Stability

Investors are generally concerned about where their money is being held and how stable those institutions are. At Axex Financial, our advisors are pleased to have LPL Financial, as our Broker/Dealer and firm. All products and services are offered through LPL Financial.

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.

Today, LPL is a leader* in the markets they serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. They stand steadfast in their commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. For more information about LPL Financial, visit: https://www.lpl.com/about-Us.html

Foundational Values That Inform Our Vision 
It was in the midst of this rapidly changing industry environment that LPL was formed. The entrepreneurial vision of Linsco and Private Ledger fused to form a guiding principle—supporting the best interests of its advisors and their clients.

More than 30 years later, LPL has become a Fortune 500 company and launched a new brand, yet this guiding principle remains—it’s simply expanded far beyond the investment services offered. Alongside the constant pace of change in the financial services industry and the world around us, LPL has evolved its technology, operations, risk management, and business consulting—while continuing to innovate its investment management services and platforms.

Financial Strength

• Over $1 Trillion in assets held in brokerage and advisory client assets, serviced or custodial
• 19,000+ financial professionals serviced by LPL
  
• 800+ financial institutions partner with LPL

Throughout this communication, the terms “financial advisors” and “advisors” include registered representatives and/or investment adviser representatives affiliated with LPL Financial LLC, an SEC registered broker-dealer and investment adviser. 

*Top RIA custodian (Cerulli Associates, 2020 U.S. RIA Marketplace Report); No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine June 1996-2021); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report). 
 *Data as of May 31, 2021. Fortune 500 ranks U.S. companies based on a review of the prior year’s total revenue and factors such as profits after taxes, year-end assets and total stockholders’ equity. 
 

The intended audience of this communication is the general public and the purpose is to communicate the business operations of LPL Financial. Throughout this communication, the terms “financial advisor(s)” and “advisor(s)” include registered representatives and/or investment adviser representatives affiliated with LPL Financial LLC, member FINRA/SIPC and registered investment adviser.