Procedures for Using Pre-Approved Material for LPL
Financial Representatives - Tracking #421042
  • You must be at least Series 7 licensed.
  • This software and report has been pre-approved by LPL Financial for use under LPL Financials’ hourly consulting program.
  • If you are under LPL's RIA, you can charge clients using this report as a deliverable under LPL’s hourly consulting program. Please refer to the Financial Planning section of the Resource Center under Hourly Consulting Program for the rules and procedures for charging clients.
  • If you have your own outside RIA, you may potentially charge clients as this is left to the discretion of the RIA.
In this registration process, you will be selecting your representative type. It will be used to determine the required, appropriate disclosure that will print on the cover page of the report.
  • Provide your name and approved title. If you are in California, you must use an approved LPL Financial title (e.g., "LPL Registered Representative"). In the state of Washington, you must be registered as an IAR to use certain titles. If you have questions about any titles appropriate to you, please contact Marketing Regulatory Review at ext.6590
  • If using a firm name, use either "LPL Financial" or your LPL approved DBA name.
  • Provide your insurance license number and state of issuance.

If you are adding any customized material besides your personal information on the cover page or including any other materials in this cash flow report, please make sure to submit all of that additional material to LPL Financials’ Marketing Regulatory Review Department for review prior to using those customized materials. Please make sure to include the tracking number posted here with your submissions to LPL Financials’ Marketing Regulatory Review Department. This also includes any modifications to the pre-approved report. Modifications may not be made without permission from the vendor and submitting to LPL Financials’ Marketing Regulatory Review Department.

Record Retention
Please maintain a copy of this page showing the tracking number and a copy of the sample report in your branch advertising files. If you charge the client for advice under LPL’s hourly consulting program and use this report as a deliverable, you need to maintain a copy of the approved version of the report (that was submitted, reviewed, and approved by LPL Financial Planning Group), in the client file.