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Community & Support

Be Part of Something Greater

Bay Financial-affiliated professionals all believe in and share the same responsibility: to manage, invest, and preserve their clients’ wealth. They have diverse backgrounds as accountants, financial planners, business owners, investment managers, and insurance specialists, and hold a wide variety of industry designations. Together we strive to ensure you have all the resources you need to be successful, both for your business and on behalf of your clients.

Community Events and Connection

You’ll have the option to engage with the entire Bay Financial community, as well as the larger LPL network, as we all work to enhance our skills and improve outcomes for clients.

  • Advisor study groups: Engage with your peers and share best practices with these mastermind cohorts.
  • Annual advisor conference: Each year, the Bay Financial community comes together for a celebration of partnership and accomplishment, and learn what’s new and noteworthy in our profession.
  • Periodic team-building events: Throughout the year advisors gather for social events and team-building exercises.
  • LPL Focus: Learn about the latest LPL developments and initiatives, as well as where your advisor peers are finding success, at this flagship annual conference, which brings together thousands of financial professionals from across the country.

Ongoing Support

Our goal is to keep you informed on LPL, industry, and regulatory developments and help you operate compliantly, so you can keep delivering for your clients. This includes access to a dedicated LPL service team, which has a deep understanding of how we operate and support your business in order to offer the highest level of service to yours. The team is on hand to manage any issues related to technology, training, operations, and more.

Additionally, we host monthly conference calls to share updates and training on operations and compliance items, and work with you in advance of branch audit visits to verify your office is in line with current LPL and FINRA regulations.

Nationally Recognized Partnerships

As part of Bay Financial, you’ll also be part of two leading organizations working on behalf of american investors. You and your practice can benefit from their national scale, in-depth analysis, and customized solutions.

LPL Financial

Since its founding in 1989, LPL has operated with a singular mission: to take care of their advisors so they can take care of their clients. They offer: 

  • National recognition as the largest independent broker-dealer, top-3 custodian, and Fortune 500 companyCompetitve economics to leverage Bay Financial’s resources to run a more efficient practice
  • A wide selection of non-proprietary financial products to meet clients’ individual needs, including commission- and fee- based solutions
  • Access to LPL Research, an independent investment research team that provides timely market and economic commentary, asset allocation strategies, model portfolios, and more
  • Concierge consulting services to support all aspects of your business, including insurance and annuities, high-net-worth clientele, marketing, trust services, advisory investment strategies, retirement plan business, and more
  • Leading-edge technology systems to make it easy for you to do business and deliver your clients a great experience
  • Knowledgeable service from experienced professionals who are empowered to get you the right answer on the first call

**Top RIA custodian (Cerulli Associates, 2020 U.S. RIA Marketplace Report); No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2021); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 Company as of June 2021. LPL and its affiliated companies provide financial services only from the United States.

The right partners can make all the difference for your ongoing success. We welcome the chance to share with you what sets the Bay Financial community apart.


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