The Art of Wealth Management

Frequently Asked Questions

Current Members

How do I establish online access to my LPL Financial accounts?

We’re happy to set up online access for you, at your request. Please contact our office with a desired user name to use for account access.  A temporary password will be sent via e-mail from LPL Financial.

Once my access is established, how can I see my account information online?

Please go to Select the “Member Center” tab, and then click on the “Account View” link

I've forgotten or lost my user ID and/or password. What should I do?

Please contact our office, and we’ll reset your password or provide your user ID.

Can I get statements online?

Yes. If you’ve established online access through LPL Financial Account View, you can get your monthly and annual statements online.  You can also “go green” by selecting the paperless option inside your LPL Financial Account View. For more detailed instructions click here.

Is there a way to stop receiving prospectuses and shareholder communications in the mail from mutual funds or stock companies?

Yes. For detailed instructions and a link to the website click here.

When I want to make a deposit into my account, how should I make out the check?

Always make checks payable to LPL Financial. Please be sure to include your account number in the memo section of the check. We can also set up ACH on your account linking to your bank account to send or receive money, or you can also send money via electronic check from your bank account.

Prospective Members

Do you work on fees or commissions?

We can work in both ways. But, we prefer to work on a fee basis, and recommend this to our members. That’s because with this arrangement, our fees come directly from you – and not from any outside third party. This can help to reduce or eliminate any potential conflict of interest.

How can I check up on you?

Here's a list of resources you can use to review our credentials, or those of any advisor. We’re also happy to provide member and professional references, if you would find that helpful.

When I invest with you, who actually holds my money?

We don’t take possession of any member funds – in fact, we’re prohibited from doing so. All member assets are custodied with our brokerage firm (LPL Financial ) or directly with the investment/mutual fund companies. In most cases, though, the assets are held by LPL Financial.

Where do you meet with members?

At our office in Englewood, Colorado. Please click here for a map and directions. We would be happy to meet at your home or another location and we are also able to meet via the internet.

I don't live in Colorado. Can I still work with you?

Probably. We’re licensed in many states, and are generally willing to add additional states to accommodate new members from other states.

Can I get a copy of your disclosure brochure (Form ADV)?

Yes, our ADV and Supplements are located on the Resources page of our website.

Who is LPL Financial?

LPL Financial is the largest independent broker/dealer in the United States*. LPL Financial provides unbiased research, leading-edge technology, training, and non-proprietary products to independent financial advisors and financial institutions. For more information, please view the LPL Corporate Report and LPL Financial Insight.

 *As reported by Financial Planning magazine, June 1996-2012, based on total revenue.