Broker Check

Our Partnership With LPL

Plan 4 offers the personal touch of a boutique firm supported by the capabilities of the nation’s largest independent broker-dealer*.

Our Process

FINRA provides tools, templates, and other resources for firms with 150 or fewer registered representatives. FINRA has also established the Small Firm Advisory Committee (SFAC) to advise FINRA leadership and the Board of Governors.

Our History

BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.

Our Values

The Securities Investor Protection Corporation (SIPC) protects customers if their brokerage firm fails. Brokerage firm failures are rare. But if it happens, SIPC protects the securities and cash in your brokerage account up to $500,000. LPL Financial is a member of the SIPC.

*As reported by Financial Planning magazine, June 1996-2020, based on total revenue.

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