LPL FINANCIAL SERVICES

Lobbying Spend

—

Filings

Firms Hired

Active Period

2011–2013

Lobbying Spend by Year

Client-reported lobbying expenses on LDA filings

Year	Lobbying Spend	Filings	Firms
2013	—	4	1
2012	—	4	1
2011	—	5	1

Lobbying firms retained by this client; amounts are client-reported expenses when available

Firm Name	Reported Spend	Filings
K&L GATES LLP	—	13

Government entities explicitly identified as targets in LDA filings

Government Body	Filings
HOUSE OF REPRESENTATIVES	11
SENATE	9
Securities & Exchange Commission (SEC)	7
Labor, Dept of (DOL)	1

Most frequently reported lobbying issues

Issue Code	Description	Reports
Retirement	Retirement	13
Financial Institutions/Investments/Securities	Financial Institutions/Investments/Securities	13

LPL FINANCIAL SERVICES — Lobbying Disclosure | Poliscope