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Privacy Policy

Privacy Policy

Rev. June 1, 2011
Facts What Does LPL Financial Do With Your Personal Information?
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What? The types of personal information we collect can include:
  • Social Security number
  • Income
  • Assets
  • Investment experience
  • Account transactions
  • Retirement assets
When you are no longer our customer, we will continue to hold your information and share it as described in this notice.
How? All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons LPL Financial chooses to share; and whether you can limit this sharing.
Reasons we can share your personal information Does LPL Financial share? Can you limit this sharing?
For our everyday business purposes
Such as to process and service your transactions, report on transactions, maintain your account(s), respond to court orders, regulatory and legal investigations, or report to credit bureaus.
Yes No
For our marketing purposes
We do not share information with our affiliates or other non-affiliated third parties to offer you products and services without your consent.
No No
For joint marketing with other financial companies
Federal and certain state laws give us the right to share your information with banks, credit unions, retirement plans and other financial institution programs with which you are a customer and where a formal agreement exists between us and them to provide or market financial products or services to you. However, we will not share your information with these financial companies for marketing purposes if your financial advisor is not affiliated with them without your consent, but we may share information with these financial companies where necessary to service your accounts.
Yes No
For Clients of financial institutions and LPL Financial
If you are a customer of a bank, credit union, or other financial institution program with which we have a joint marketing agreement (such as under a bank or credit union investment services program) and your financial advisor with whom you work pursuant to that program terminates his or her relationship with us, we will permit your financial advisor to take your personal information with them or retain copies unless your bank, credit union, or other financial institution program does not approve of such transfer. For these types of programs, the Protocol described on next page will not apply. The Protocol is also not applicable to UVEST Financial Services Group, Inc. or its advisors or customers.

Please do not send in the Privacy Choices Notice form as it is not applicable to your account relationship with us.
No No
For clients of independent advisors and LPL Financial
If your financial advisor terminates his or her relationship with us and moves to another brokerage or investment advisory firm (“New Firm”), we or your financial advisor may disclose your personal information to the New Firm, unless you instruct us not to. If you do not want us or your financial advisor to disclose your personal information to the New Firm, and if you do not want your financial advisor to retain copies of your personal information when your financial advisor terminates his or her relationship with us, you may request that we and/or your financial advisor limit the information that is shared with the New Firm by filling out the Privacy Choices Notice which is attached to this Privacy Notice and mailing it to: Privacy Management; c/o Compliance Department, LPL Financial, 9785 Towne Centre Drive, San Diego, CA 92121-1968. You can withdraw your opt-out choice at any time by contacting us in writing at the address provided above.

If your primary address is in a state that requires your affirmative consent to share your personal information with the New Firm (such as California, Massachusetts, Maine, Alaska, North Dakota, or Vermont), then you must give your written consent before we will allow your financial advisor to take any of your personal information to that New Firm.

Please be aware that LPL Financial has entered into the Protocol for Broker Recruiting (Protocol) on September 4, 2008 with certain other brokerage firms, and if LPL Financial remains a signatory to the Protocol as of the effective date of your advisor’s termination from LPL Financial, then LPL Financial will permit your financial advisor to take your name, address, phone number, e-mail address, and the account title of the accounts serviced (or additional information as permitted if the Protocol is amended) while your financial advisor was associated with LPL Financial if your advisor joins one of these Protocol brokerage firms.

If you want to follow your financial advisor to their New Firm when your financial advisor terminates his or her relationship with us, please do not send in the Privacy Choices Notice form.
No No
Questions? Go to www.lpl.com

Who is providing this notice?
LPL Financial LLC and its Affiliates (collectively LPL Financial). Our affiliates include the following entities:
  • LPL Independent Advisor Services Group, LLC
  • Independent Advisors Group Corporation
  • LPL Insurance Associates, Inc.
  • PTC Holdings, Inc.
  • The Private Trust Company, N.A.
  • UVEST Financial Services Group, Inc.
We do not share information among our affiliates for marketing purposes.
What do we do?
How does LPL Financial protect my personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

We train our employees in the proper handling of personal information. We require companies that help provide our services to you to protect the confidentiality of personal information they receive.
How does LPL Financial collect my personal information? We collect your personal information, for example, when you:
  • Open an account
  • Apply for insurance
  • Seek advice about your investments
  • Enter into an investment advisory account
  • Tell us about your investment or retirement portfolio
We also collect your personal information from others such as credit bureaus, affiliates, or other companies.
Other Important Information
Information for Vermont and California Customers
In response to a Vermont regulation, if we disclose personal information about you to nonaffiliated third parties with whom we have joint marketing agreements, we will only disclose your name, address, other contact information, and information about our transactions or experiences with you.

In response to a California law, we automatically treat accounts with California billing addresses as if you do not want to disclose personal information about you to nonaffiliated third parties except as permitted by the applicable California law. We will also limit the sharing of personal information about you with our affiliates to comply with all California privacy laws that apply to us.

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