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Frequently Asked Questions

Will my accounts held at LPL have SIPC account protection?

Yes.  

LPL Financial is a member firm of the Securities Investor Protection Corporation (SIPC). Membership provides account protection up to a maximum of $500,000 per client, of which $250,000 may be claims for cash. For an explanatory brochure, please visit http://www.sipc.org/. Additionally, through London Insurers, LPL Financial accounts have additional securities protection to cover the net equity of client accounts up to an overall aggregate firm limit of $600,000,000, subject to conditions and limitations.

The account protection applies when a SIPC member firm fails financially and is unable to meet its obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments. This extensive coverage reflects a strong commitment to serving your investment needs.


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How do I set up online access?

Our secure client account access portal is called Account View.  Please click on the button below to download the setup guide and then click on the Account Login button on the upper right hand corner of our main home page to begin.


The following instructions are important in Account View when setting up accounts to go paperless:

 

  • After checking the box for paperless in Account View, or submitting an Electronic Prospectus form, a company named Broadridge will send you an email or letter with instructions on how to complete the process.

 

  • The communication from Broadridge requests that you log into http://www.investordelivery.comto complete the process of turning off prospectus and client shareholder mailings from fund companies.

 

Electronic Delivery (E-Delivery) – Prospectuses

If you elected e-delivery, the sponsor may mail a hard copy prospectus to you under the following circumstances:

 

  • If email delivery is rejected by your internet service provider, and 
  • If an electronic version of the prospectus in not available. 



Account View User Guide

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How do I securely send you documents?

There are two ways.  One is to send us an email asking us to send you a secure email.  LPL uses a secure email service called Proofpoint and when we send you a secure email through Proofpoint, it will ask you to create a username and password.  Make sure you have a way to remember the username and password as we will periodically send documents securely.

The other way to send us secure documents is through Account View.  Please click on the button below to download the instructions on how to do that.



Document Upload User Guide

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What level of security is being used by Account View?

Account View includes Extended Security Certificates. A green address bar shows that the site has an Extended Validation Certificate.

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What is a Virtual Financial Planner?

A Virtual Financial Planner is a professional that delivers their services primarily over the phone and over the internet.  Although some people still prefer face-to-face meetings, virtual advice is becoming more and more popular. Utilizing screen sharing technology and/or secure email with my clients has become the chassis of how I deliver advice. This method is more efficient for clients and advisors alike as it eliminates trying to carve time out of your busy day commuting to and from an appointment.

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Who is Private Portfolio Partners?

Private Portfolio Partners is the Registered Investment Advisor that monitors the advice we provide to clients to ensure we are in compliance with all applicable rules and regulations.

They are based in Paramus, New Jersey which is why our business address on the footer line has a NJ address.

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How do I physically mail you a document or check?

Whenever you need to physically mail documents or checks to us, please use the following address line:

LPL Financial

Attn: Jaime Ploscowe & Kyle Reise

461 From Road, 3rd Floor, Suite 385 
Paramus, NJ 07652

For deposits into LPL accounts, make checks out to "LPL Financial" and provide a note or cover letter specifying the account number for the deposit and the reason for the deposit if it is for a retirement account. 

For instance, if you are making a contribution into an IRA you will want to specify that and state the amount and year of the contribution in the cover note or letter.

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