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LPL Financial Compliance

As LPL Financial has grown from its start in 1968 to become the nation’s number one independent broker-dealer*, providing a strong compliance platform has always been a top priority. This dedication has been rewarded in the marketplace as demonstrated by the thousands of advisors and institutions who have selected LPL Financial in part for the compliant culture the firm has created and the emphasis we place on communication, integrity and trust. 

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