Client FAQs


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 and then click on the client center available on the top menu bar. There you will find a link to Account View

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 and give you instructions to re-enter your account.

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. 

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

Yes. You can also opt out of receiving prospectuses and shareholder communications by selecting the paperless option inside your LPL Financial Account View. 

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 Client FAQs

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 any potential conflict of interest.

where can I find references for your firm?

You can use FINRA's BrokerCheck to review our credentials, and 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 client funds – in fact, we’re prohibited from doing so. All client 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 clients?

At our offices in Englewood, Colorado and Colorado Springs, Colorado. Please click here for a map and directions. We are also very happy to meet at your home, office or even online using video conferencing. 

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

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

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

Yes, our ADV and Supplements can be downloaded here.

Who is LPL Financial?

LPL Financial is the largest independent broker/dealer in the United States.¹ LPL Financial provides research, leading-edge technology, training, and non-proprietary products to independent financial advisors and financial institutions. For more information, please visit

¹ As reported by Financial Planning magazine, June 1996-2018, based on total revenue.