Securities & Investments
Flexible Investment Options for Every Client
We believe advisors should be free to chart their own course, while having the scale, compliance, and operational support of a trusted partner. Our securities and investments platform is designed to give you the best of both worlds: independence where it matters and responsive support when you need it most.
Monitor and Maintain Compliance Requirements
Monitor, notify and communicate any deficiencies.
Perform annual branch visits, ensuring all processes and procedures
are compliant, in conformance and up to date.
Keep representatives informed with frequent compliance communications.
Provide problem-resolution assistance.
Access to Multiple Fee-Based Platforms Offered Through LPL
Ability to manage custody fee-based assets.
Access to third-party independent asset managers through LPL as a
corporate RIA.
Office Administrative Support and Training
Support ranges from training and data entry to the performance of
back-office functions.
Help with hiring and training administrative staff to understand the
processes and procedures required to transact business.
Paperless Branch and Client Records System
Cut paperwork, overhead and wasted hours with a web-based paperless
program that supports greater productivity and efficiency.
Conduct efficient audit procedures without the hassle of filing
cabinets.
New Office Setup
Office setup assistance, including help obtaining and negotiating
leased space.
Help accessing discounts for business technology and hardware.
Administrative and Transition Assistance
Leverage the convenience of an automated forms solution.
Create the client paperwork needed to initiate account transfers
before the affiliation date.
Financial Transition Assistance
New advisors may be eligible for financial transition assistance.
Expense-sharing discounts are available for certain programs.
Practice Management Coaching
Pilot and LPL business development programs provide assistance with:
Maximizing the capacity of your practice.
Creating a consistently positive client experience.
Business Continuity Program
Assistance with plans to sell your practice.
Develop a business continuity plan to provide clients with a smooth
transition in the event of your death or disability.
Branding and Marketing
Ability to brand your practice individually or in association with
Pilot.
Leverage Pilot’s resources and services.
Leverage the LPL brand.
Affiliation Options
Independent contractor or W-2 employee options, with benefits
available.
Location options:
Conduct business from your current location or establish a new one.
Utilize office space at Pilot Headquarters in Greensboro, North
Carolina.
Access offices with advisors in 78 locations spanning 42 states.
Research and Resources for Designing and Implementing Client Proposals
Choose from several resources to assist in designing and implementing
client proposals.
Pilot supports NaviPlan for financial profiles, MoneyGuidePro, eMoney
and a customized program for portfolio analysis and recommendations.
Fee-based financial planning services are also available.
Joint Work and Orphan Account Opportunities
Network and share knowledge with advisors whose areas of expertise
differ from your own.
Take advantage of the knowledge and expertise within Pilot’s deep
talent pool.
Explore opportunities to connect with Pilot’s inventory of life and
securities customers seeking new relationships.
Group Meetings for Continuing Education and Training
Frequent group meetings designed to create synergies and encourage
idea sharing among peers.
Educational seminars to help advisors stay up to date and earn
continuing education credit.