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3541 Old Conejo Road Suite 114 Newbury Park, CA 91320

(805) 499-5700
connectwithus@socalcwm.com
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Fiduciary Focus

Your Best Interests Are Our Best Interests

Your need for competent, objective investment advice—from an advisor you can trust—has never been greater. That’s why you should work with an independent financial advisor supported by LPL Financial. Doing so will ensure that you receive the benefits of working with a financial professional who is held to a fiduciary standard to provide advice that is in your best interest. That includes:

Clearly defining and explaining any services, commitments and accountabilities provided to you. You will always know how your LPL financial professional is compensated for providing any services to you.

Disclosing information about their recommendations. You will always know up front why any given investment product, strategy or account change is being recommended.

Exercising diligence, care and skill when making a recommendation. Your best interests will always be our top priority.

Abiding by policies that address conflict of interest. All conflicts of interest related to your advisor’s recommendations must be disclosed to you. Your LPL advisor follows strict policies to prevent conflicts of interest from interfering with them giving the best recommendations possible to you.

Your Success is Always Our Priority

Here’s how your LPL financial advisor can help you:

  • Work with you to develop investment goals based on your needs and life’s aspirations.
  • Provide an appropriate investment strategy based on your investment goals, risk tolerance and timeframe.
  • Help you better understand what’s happening in the market and how it can affect your investment strategy.
  • Adhere to a strict investment due diligence and monitoring process to ensure that your investments continue to meet your investment objectives.
  • Provide clear, concise performance reporting and monitor how that fits into your overall financial plan.
  • Meet with you on a regular basis to track progress and make adjustments as necessary.

About LPL Financial

LPL Financial is one of the nation's leading financial services companies and a publicly traded company under ticker symbol LPLA. The firm's mission is rooted in the belief that objective financial guidance is a fundamental need for everyone. LPL does not offer proprietary investment products or engage in investment banking activities; this means advisors affiliated with LPL are not pressured or influenced by LPL to sell its products. Thousands of financial advisors nationwide are able to rely on the firm's tools and resources to help them provide financial guidance and recommendations to help meet their clients' needs. For more information about LPL Financial, visit www.lpl.com.