LPL Tech Update

As we continue to forge ahead into 2025 at LPL Financial , we remain steadfast toward our goal of delivering technology that helps our advisors and institutions streamline their processes and run thriving businesses. Reflecting on this month, I couldn’t be prouder of the work our team is doing to prioritize advisor feedback and solve pain points - big and small – to create a positive and frictionless experience.

So, without further ado, here are a few noteworthy LPL Product and Technology Updates:

We kicked off the year announcing an exciting new partnership with Wintrust Financial Corporation and their approximately 90 financial advisors serving ~$16 billion in assets to our Institution Services platform. This marked a significant milestone in our ongoing growth and commitment to providing a more streamlined, intuitive and integrated experience for advisors that allows them to scale and deliver more personalized experiences for their clients. Welcome to the Wintrust team!

Enhanced Product-Technology Solutions

With ease of doing business in mind, we've launched several exciting product and technology updates so far this year, enhancing our capabilities across various platforms:

·?????? Updated Capabilities in Account View: Investors can now utilize 20 new investment and planning calculators, as well as two-factor authentication that allows investors to use their email to receive their one-time pass for login.

·?????? Alts Connect Platform in ClientWorks: We’ve made it easier to purchase alternative investments by streamlining the alternative order entry (AOE) process, reducing time to submit and order by up to 75%.

·?????? Digital Fact Finder: This new tool allows advisors subscribed to Planning Services to collect key information from their clients digitally in lieu of paper financial planning forms, with a modern, clean data collection experience

Industry Recognition

It was wonderful to see our team start the quarter by receiving prestigious industry recognition from two separate organizations. We were grateful to partner with 印孚瑟斯 to win a NASTA Award for Best Test Automation - Non-Functional for its testing strategy during a major technology overhaul. Using Automation, AI, and Site Reliability Engineering techniques, the team achieved efficiency gains through a testing approach that led to faster time to market, earlier defect detection, and long-term improvements in page load times and availability.

Our team was also honored to receive the R&D Innovator Award at Dynatrace Perform 2025, which recognizes firms who collaborate closely with Dynatrace 's Research & Development labs to help shape the future of unified observability, analytics, and security. Congratulations to our Product-Tech team representatives Ramdeep Bhattacharya , Jim Gentile , Tony Whitehead , and Chad Turner (who also took home an additional honor for Most Valuable Customer Contributor).?

Team Development

Finally, we’ve prioritized significant time so far this year to invest in building our outstanding LPL Product-Technology team, focusing efforts on bringing together diverse talents and fostering creative solutions. For starters, our Product teammates, led by Chief Product Officer, Gary Carrai, CFA , gathered for our 1st annual Product All-Hands Summit, a dynamic event focused on training, sharing best practices, and gaining insights from key leaders on how product innovation drives success within LPL Financial .?

Then, we held our 3rd annual University Hackarama, a 24-hour marathon of innovating and problem solving hosted by our Early Career Technology team in partnership with Amazon Web Services (AWS) . This year was our biggest Hackarama yet, with 43 teams from 6 different universities across the country coming together to brainstorm and build solutions to some of the biggest problems facing our advisors, institutions, and home office employees.

I’m thankful for all we were able to achieve together this month and look forward to another prosperous month ahead.?