LPL Financial Process
Hybrid RIAs have the opportunity to co-brand using a single DBA name across various lines of business and their associates’ registrations. This process includes Hybrid Advisors (IARs registered with Great Valley Advisor Group and serving as representative of LPL Financial) or Independent Financial Advisors (“RIA Only”, registered solely with Great Valley Advisor Group).
To submit a Hybrid RIA Co-Branding request, please refer to the documents linked below and follow the steps explained in order.
- Hybrid Co-Branding Guide – the benefits, what you should consider, and how to handle advertising and communications
- For IFA’s appearing alone on marketing materials: all marketing materials should be submitted to GVA’s RIA Compliance Review Team (Check the Marketing Compliance page for specifics) for review and approval before use.
- For IFAs and Hybrids appearing together on marketing materials, these should ALSO be sent to LPL’s Marketing Regulatory Review via ComplianceMax on ClientWorks.
- Hybrid Co-Branding Steps – Please copy Compliance@greatvalleyadvisors.com when submitting a request to RepReview.mailbox@lpl.com and include:
- Name of IAR
- DBA Name they wish to use
- Office Sharing Form (linked below)
- Office Sharing Form – If applicable, the LPL Office Sharing Form can be included in the initial email request to RepReview.mailbox@lpl.com.
Transitioning from Licensed Advisor to IFA Only
Dropping Your Securities License
To help answer a few questions about this process with LPL Financial, please refer to the Guide of FAQs for converting from Hybrid to IFA.
If you are ready to drop your Securities license please send an email to GVA Operations and we will help guide you to accomplishing this goal.
