What has changed?

We are still the same Winchell Financial Group you've grown to trust, but we are now utilizing LPL Financial our new broker dealer. LPL Financial is the nation’s largest independent broker/dealer* overall and third largest custodian of assets**, supporting over 19,000 independent advisors. This relationship allows us greater autonomy, greater resources, and access to objective research and market insights – advantages passed on to you in the form of more personalized service and access to a comprehensive array of investment choices.

What motivated you to make the change?

As the financial industry continues to change and evolve, we felt an increased need for flexibility in our business and how we offer services to our clients. With the support of LPL Financial as our broker/dealer, we will be able to offer clients a broad array of investment choices, while having the flexibility to choose the technology, financial planning, and other tools to elevate the client experience.

With the support of LPL Financial, we will be able to spend more time working for you and doing the things at work that we are passionate about.

Why didn’t you tell us about this change earlier?

We would have loved to tell you sooner. We chose to wait until after our firm was officially utilizing LPL Financial as our broker dealer to avoid certain conflicts of interest. If you have any questions prior to us contacting you, please call us at 888-727-3033 (toll-free).

Where will my assets be held, and how safe will they be?

As a Financial Industry Regulatory Authority (FINRA) member firm subject to the federal securities laws and the rules of industry self regulatory organizations, LPL Financial prioritizes its obligations to protect client assets in their custody with the utmost care and scrupulous adherence to financial protection rules, including those governing the segregation of client assets. With more than $1 trillion in client assets serviced and custodied, LPL provides an enormous catalog of services and resources, as well as a long history of financial stability. The LPL Financial SIPC Membership provides account protection up to a maximum of $500,000 per customer, of which $250,000 may be claims for cash. An explanatory brochure is available at www.sipc.org. Additionally, through London Insurers, LPL Financial accounts have additional securities protection to cover the net equity of customer accounts up to an overall aggregate firm limit of $600,000 subject to conditions and limitations. The account protection applies when a SIPC member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments.

Has your investment process changed?

No. In fact, because of our new partnership with LPL Financial, we now have access to enhanced research and technology capabilities, as well as sophisticated portfolio construction tools that empower us to do more for you. None of your current investments will need to be sold in the process of a transfer.

Why did you choose LPL Financial as your broker/dealer?

After careful research, we have selected LPL Financial because of their deep commitment to our clients and our business. We did not make this decision lightly and can assure you that we went through a rigorous review. We needed to find a better home for ourselves and our clients and to be supported by a culture that prioritizes clients’ needs and interests above everything else. LPL’s comprehensive support, technology and research, along with their model of transparency and dedication to independence and choice, allows us to provide you with a wide range of diligently evaluated, non-proprietary products. In fact, you will now have access to many investment options that previously were not available to you by virtue of LPL’s scale. As a leader in the retail financial advice market, we are confident that we are being fully supported by a firm who can match our high standards.

What should I expect during this transition?

You can expect a smooth and transparent process as we make this transition together. You will be contacted directly to discuss how this change will positively impact your experience with us, as well as, discuss the process for your account transfer.

How is my personal information protected?

To protect your personal information from unauthorized access and use, LPL Financial uses security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. LPL’s online environment uses security technologies, including layered security and access controls over personal information. For further information, please visit LPL’s Privacy/Security page at: www.lpl.com/disclosures/privacy-security.html

What is your new website and how do I log into my account?

You can visit our new website at: www.winchellfinancialgroup.com

As soon as your account has been moved to LPL, we will contact you to let you know how to enroll and log-in to our new and improved client portal.


Where is your new office?

Our new office is located in the amazing

One Summerlin® building – only two blocks from our previous location.

*Based on total revenues, Financial Planning magazine, June 1996 – 2021.
**Cerulli Associate, 2019 U.S. RIA Marketplace Report.

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