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CFP is based in Glendale, California and is a Registered Investment Advisor offering comprehensive, fee-based financial planning and strategic wealth management. It also offers Security and Advisory services through LPL Financial. Member FINRA & SIPC. [9] Hobbs built his wealth management business in Palm Springs as a local CFP satellite office.
LPL Financial Holdings Inc. (commonly referred to as LPL Financial) was founded in 1989 and is considered the largest independent broker-dealer in the United States. As of 2021 the company had more than 17,500 financial advisors, [4] over US$1 trillion in advisory and brokerage assets, [5] and generated approximately $10.3 billion in annual revenue for the 2023 fiscal year. [6]
Unregistered securities and commodity contracts are not covered by the SIPC, even when brokered by a member firm. [19] Account disputes with a brokerage that remains in business are not handled by the SIPC, but typically by the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading Commission (CFTC). [20]
Notice to LPL Customers: The Securities Arbitration Law Firm of Klayman & Toskes Continues to Investigate and Pursue Claims Against LPL Financial as FINRA Levies $9 Million Fine NEW YORK ...
FINRA also maintains the BrokerCheck database of brokers and investment and financial advisors. This is a searchable online database that includes information about members’ certifications ...
LPL Financial has main offices in Boston, Fort Mill, Austin, and San Diego. The company is a member of FINRA and the SIPC. LPL Financial joined the Fortune 500 list at number 466 in 2021 and rose to 392 in 2024. LPL's subsidiaries are LPL Financial LLC, LPL Insurance Associates, Inc., Fortigent, LLC, and The Private Trust Company, N.A. To:
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Similarly, the Securities Investor Protection Corporation (SIPC) is overseen by the SEC. [1] Seal of the U.S. Securities and Exchange Commission. All brokers and dealers registered with the SEC under 15 U.S.C. § 78o, with some exceptions, are required to be members of SIPC (pursuant to 15 U.S.C. § 78ccc) and are subject to its regulations. [4]