Linsco Private Ledger, LLC.
Linsco Private Ledger (“LPL”) is a registered broker-dealer with the Financial Industry Regulatory Authority (“FINRA”). It is also registered with the Securities and Exchange Commission (“SEC”). Accordingly, it must abide by securities regulations and federal and state securities laws. Failure to do so leaves it susceptible to private and public legal action.
LPL conducts 17 types of businesses. Its investment advisory services include financial planning, portfolio management, and pension consulting. Its clients consist of individuals, banking and thrift institutions, pension and profit sharing plans, charitable organizations, and government entities. It is compensated for its investment advisory services with either fixed fees, a percentage of assets under its management, hourly charges, or commission.