Procedures for Using Pre-Approved Material for LPL Financial Representatives - Tracking #421042 |
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.
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 |