| Formed in 1989 through the merger of two small but successful brokerage firms, Linsco/Private Ledger (“LPL”) today is largest independent Broker/Dealer in the nation with over 5800 independent advisors. The financial consultants of Peak Capital Investment Services, LLC chose LPL as its Broker/Dealer, in part, because of the firm’s financial strength. LPL’s excess net capital, a measure of the firm’s solvency, is the highest of all independent brokerage firms. LPL also protects client brokerage accounts up to $100 million. LPL’s SIPC membership provides protection up to $500,000 of which $100,000 may be in cash. The firm has purchased an additional $99.5 million of protection from AIG, one of the leading U.S. based insurance companies for a total of $100 million in protection. This account protection applies when a SIPC member firm fails financially and is unable to meet obligations to Securities customers. It does not protect against losses from the rise and fall of the market value of investments. For more information, go to www.sipc.org. As an independent Broker/Dealer, LPL offers no investment products of its own. The firm also does not conduct investment banking activities. This helps ensure that the advice you receive from your Peak Capital Investment Services’ representative is completely objective and unbiased.
LPL is one of a handful of independent broker/dealers to provide investment research. Lincoln Anderson, the former director of economic research for Fidelity Investments, heads up LPL’s team of chartered financial analysts as the Chief Investment Officer. As a client of Peak Capital Investment Services, LLC, you can expect to receive information from time to time based upon the research conduct by Mr. Anderson and his team.
Another major reason the financial consultants of Peak Capital Investment Services, LLC chose LPL as their broker/dealer is because LPL is the only major independent firm to become self-clearing. Virtually all other firms clear through one of the major clearing firms, such as Pershing or Bear Sterns. The advantage to being self-clearing is that it allows your Peak Capital Investment Services Representative to offer better service. For example, when a client needs service on his or her account with a firm that does not self-clear, the advisor needs to call the back office of his broker/dealer who then in turn calls the clearing firm. Assuming nothing gets lost in the translation and the clearing firm resolves the issue, it calls the broker/dealer who in turn calls the advisor. This can amount to tremendous delays in resolving issues for clients. With LPL, the advisor simply has to call the firm and speak directly with the person who can resolve the client’s issue. Nothing gets lost in the translation, and over 90 percent of all issues received are resolved during this one phone call.
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Denver:
640 Plaza Drive | Suite 120 | Highlands Ranch, Colorado 80129
Office: 303.972.7786 | 877.270.8366
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Dallas:
125 E. John Carpenter Frwy | Suite 270 | Irving, Texas 75062
Office: 972.409.0885 | 877.270.8366
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San Antonio:
111 Soledad | Suite 313 | San Antonio, Texas 78205
Office: 210.299.7620 | 877.270.8366
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Houston:
10101 SW Freeway | Suite 400 | Houston, Texas 77074
Office: 713.219.1413 | 866.409.0885
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New Jersey:
160 Chubb Ave | Suite 104 | Lyndhurst, New Jersey 07071
Office: 201.355.1795 | 800.617.0431
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Securities offered through LPL Financial: Member FINRA/SIPC
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