Schott Financial Management is pleased to announce an important advancement in our firm’s continued commitment to delivering dedicated service and forward-thinking financial strategies. We have officially transitioned our broker-dealer relationship to LPL Financial, headquartered in San Diego, California.

LPL Financial is the largest independent broker-dealer in the nation*, supporting more than 32,000 financial professionals. This transition positions our firm to leverage enhanced technology, expanded resources, and a more streamlined client experience.

We want to reassure you that your portfolio, investment strategy, and fee structure will remain exactly as they are today. There will be no disruption to your plan, and no action is needed on your part. Clients will only be required to complete standard electronic authorization documents; all other aspects will be managed seamlessly. Our priority continues to be providing you with consistent, personalized service.

Also, one of the most immediate benefits to our clients will be LPL’s advanced technology platform and client portal, designed to provide improved access, transparency, and ease of use. Additionally, LPL Financial is a self-clearing firm, meaning operations are handled in-house. This structure allows for greater efficiency, faster processing, and a more seamless experience for our clients.

This move reflects our ongoing commitment to evolving with the industry while maintaining the personalized service and relationships that define Schott Financial Management.

If you have any questions or would like to discuss how this transition may impact your accounts, please contact Steve directly at Steve@SchottFM.com or call (928) 776-1031.

We look forward to continuing to serve you—and growing together in the years ahead.

We have included a link to FINRA’s educational communication regarding factors to consider in determining whether to transfer your assets. http://www.finra.org/sites/default/files/Broker-Dealer-Recruitment-Disclosure.pdf

*As reported by Financial Planning magazine, June 1996-2025, based on total revenue.

Sincerely,

Steve Schott