NAVIGATING LPL FINANCIAL

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NAVIGATING LPL FINANCIAL

This Guide Includes the Following:

1: LPL Independent Advisor Services (IAS) Phone Tree 2: LPL Institution Services (IS) Phone Tree

3: Department Extensions and Resource Information 4: Easy Ways to Stay Engaged with LPL Financial

Member FINRA/SIPC.

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LPL Independent Advisor Services Telephone Tree

When you call the main LPL Independent Advisor Services (IAS) support line, you have six options. Find details about each option below. The number next to each sub-bullet correlates to the number to select on your phone keypad.

Main Support Line: 1-800-877-7210, press 9 for a list of departments

See page 4 for the LPL Financial Institution Services (IS) phone tree.

Option 1: Trading

9: Enhanced Trading & Rebalancing Tool

1: Equity

2: Fixed Income

3: Mutual Funds and UITs

4: Commodities and Precious Metals

5: Annuity Order Entry

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Option 2: Service

1: Specialized Queue Menu

1: Brokerage/Advisory

2: New Accounts and Account Maintenance

3: Retirement Accounts

4: Move Money and Account Transfers

5: Alternative Investments

6: Direct Business

7: Client Compensation

8: Compliance and Registration

2: Tech Support

1: Login Assistance

2: ClientWorks

3: Advanced Email/Contact Management

4: Account View/WealthVision Linking

5: BranchNet

6: Reporting

Option 3: Sales and Insurance

1: Insurance

2: Advisory and Product Sales

3: Financial Planning Group

LPL TELEPHONE TREE

Option 4: Registration and Licensing

Registration and Licensing

Option 5: Marketing

1: Marketing Solutions Center

2: Marketing On Demand (logging in and placing orders)

* For Marketing Research, call 1-800-877-7210, x4755

* For Marketing Regulatory Review, call 1-800-877-7210, x6950

Option 6: Information about Joining LPL or Branch Development

0: For information about joining LPL or Branch Development, Press 0.

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LPL Institution Services Telephone Tree

When you call the main LPL Institution Services (IS) support line, you have 10 options. Find details about each option below. The number next to each sub-bullet correlates to the number to select on your phone keypad.

Main Support Line: 1-866-321-3640

Option 1: Trading

9: Enhanced Trading & Rebalancing Tool

1: Equity

2: Fixed Income

3: Mutual Funds and UITs

4: Commodities and Precious Metals

Option 2: Service

1: Specialized Service Teams

1: Move Money

2: New Accounts and Account Maintenance

3: Account Transfers

4: Direct Business

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5: Managed Account Services (MWP, OMP, PWP, Manager Select)

9: Enter 2-Digit Service360 Team #

Option 3: Technical Support

1: Login Assistance

2: ClientWorks

3: Advanced Email and Contact Management

4: Account View and Wealth Vision Linking

5: BranchNet

6: Reporting: Portfolio Manager, PRT, and Client Reporting

Option 4: Compliance and Registration Service Teams

1: Registration

2: Compliance Education

3: Marketing Regulatory Review

4: All other compliance-related inquiries

Option 5: Alternative Investment Service Team

Option 6: Retirement Service Team

1: Traditional and Roth IRAs

2: Employer Plans

LPL TELEPHONE TREE

Option 7: Client Compensation and Client Technology Management

1: Compensation (Commission, Fee Revenue, and Expenses)

2: Technology Access

Option 8: Sales and Insurance

1: Insurance Sales, Illustration Requests, and Policy Design

2: Insurance Case Management or Operations

3: Investment & Planning Solutions

1: Advisory Consulting

1: Advisory Operations

2: Advisory Sales and Marketing

2: Products (Annuities, Alternative Investments, Mutual Funds, 529s, ETFs, UITs)

1: Annuities

2: Annuity Consulting

2: Alternative Investments

1: Alternative Investment Service Center

2: Alternative Investment Product Consulting

3: Mutual Funds, 529 Plans, ETFs, UITs

Option 9: Marketing

1: Marketing On Demand (logging in and placing orders)

2: All other marketing-related items

Option 0: Enter an Extension

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Service, Trading, & Operations

Service

Service Centers – please reference “Phone Tree” on page 2 Technical Support

Resources:

Resource Center > Technology > Technology Support Center

Email: [email protected]

1-800-877-7210 x6357

Trading

Annuity Order Entry Help Desk / Annuity Operations Resources:

Resource Center > Search “AOE One Stop Shop”

1-800-877-7210 x6370, option 4 Equity Trading

Resources:

Resource Center > Search “ClientWorks Equity Trading How To Guide”

Resource Center > Technology > ClientWorks > ClientWorks Trading

1-800-877-7210 x6450

Business Unit Support Information

Alternative Investment Trading Resources:

Resource Center > Investment and Planning Solutions >

Alternative Investments

1-800-877-7210 x6611, option 1

Hours of Operations: 9:00 a.m.-7:30 p.m. EST , 6:00 a.m.-4:30 p.m. PST

Fixed Income Trading Resources:

Resource Center > Investment Planning Solutions > Fixed Income

1-800-877-7210 x6300

Mutual Fund and Unit Investment Trust Trading Resources:

Resource Center > Investment Planning Solutions > Mutual Funds

Resource Center > Investment Planning Solutions > Unit Investment Trusts

1-800-877-7210 x6399 Enhanced Trading & Rebalancing Resources:

Resource Center > Technology > Enhanced Trading &

Rebalancing

1-800-877-7210 x5800

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BUSINESS UNIT SUPPORT INFORMATION

Precious Metal and Commodity Trading Resources:

Resource Center > Search “Precious Metals”

Resource Center > Search “Commodity Trading”

1-800-877-7210 x6294

Operations

Departments include: Transfers, Advisory Operations, Cash

Management, Client Reporting & Statements, Corporation Actions, Cost Basis, Custody, Direct Business Operations, New Accounts, Tax

Reporting, etc.

Resources:

Resource Center > Search topic of interest

Resource Center > Search “Operations Best Practices: Quick Reference Cards”

Email: N/A – Please contact Service

Extension: N/A – Please contact Service

Client Compensation & Technology Management Client Compensation

Resources:

Resource

Center > Your Business > Manage Your Business – Compensation

1-800-877-7210 Extension: 6123, option 1 Client Technology Management

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Resources:

Resource Center > Technology

Resource Center > Technology – Subscription Agreement (RE-BNKITSUB)

Resource Center > Technology – Request to Add or Remove Products (RE-BNARP)

1-800-877-7210 x6123, option 2

National Sales and Consulting

Resources:

Resource Center: Investment & Planning Solutions

Resource Center: Search “NS Consulting Map”

Advisory Consulting Resources:

Platforms

1-800-877-7210 x6400, option 1 Alternative Investment Consulting Resources:

Resource Center > Investment & Planning Solutions >

Alternative Investments

1-800-877-7210 x6400, option 2 Financial Planning Group

Resources:

Financial Planning

1-800-877-7210 x6600, option 3

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Insurance and Annuity Consulting Resources:

Insurance

Annuities

1-800-877-7210 x7800, option 1 – Insurance Sales; option 2 – Annuity Sales

Retirement Partners

Retirement plan business held with an LPL-approved recordkeeping (RK) provider

Supports both fee-based and broker of record employer sponsored plans.

For support with plan business, please contact the Employer Plan Services team at 1-866-383-4015

Resources:

Resource Center > Your Business > Employer Sponsored Plans

LPL Private Client

(formerly High-Net-Worth Solutions) (minimum of $5 million in investible assets)

Resources:

Resource Center > Investment & Planning Solutions > LPL Private Client

1-800-877-7210 x7074

The Private Trust Company (PTC)

Resources:

Resource Center > Investment & Planning Solutions > Trust Planning & Services

1-800-877-7210 x7990

Research

Resources:

Resource Center > News & Research > Research

1-800-877-7210 x4755

Business Consulting

Resources:

Please consult with the Program Manager within your Investment Program regarding outreach to LPL Financial Institution Services (IS) Business Consulting

Conference Experiences

Resources:

Resource Center > Your Business > Manage Your Business >

Conferences

1-800-877-7210 x6800

Marketing

Resources:

Marketing

1-800-877-7210 x6700, option 1

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Training & Development

Resources:

Training & Education

Extension: Please contact your Service Team

Compliance, Legal, and Risk

The Compliance, Legal, and Risk (CLR) team works closely with you, providing a platform of risk and compliance management, services, and technology to support and help protect your business. Our processes and systems are designed to minimize regulatory, legal, security, financial, and regulatory risk.

Advisory Compliance Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Advisory Compliance

Extension: Contact Compliance Service at 1-800-877-7210 x6835

Branch Exams Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Branch Exams

Extension: Contact Compliance Service at 1-800-877-7210 x6835, option 4

Compliance Education Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Compliance Essentials > Continuing Education and Training

Conflicts Management Office Resources:

Resource Center > Search “Conflicts Management Office”

Extension: Conflicts Management Office at 1-800-877-7210 x1387

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LPL FINANCIAL

ERISA & Retirement Compliance Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Compliance Essentials > ERISA & Retirement Compliance

Extension: Contact Retirement Service at 1-800-877-7210 x6515

Financial Crimes Compliance Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Anti-Money Laundering

Marketing Regulatory Review Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Compliance Essentials > Marketing Regulatory Review

1-800-877-7210 x6590

Registration Services Team Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Compliance Essentials > Registration

1-800-877-7210 x6999

Senior Investor Protection Investigations Resources:

Extension: Contact Senior Investor Protection Investigations at 1-800-877-7210 x6228

Supervision – Assigned Supervisory Principal Resources:

Resource Center > Your Business > Product Supervision

Email: Specific to assigned Supervisory Principal

Extension: Contact Alternative Investment Service Center at 1-800-877-7210 x6611, option 1

Extension: Contact Annuity Service Center at 1-800-877-7210 x6370, option 2

Supervision – Complex Product Resources:

Resource Center > Your Business > Product Supervision

Extension: Contact Alternative Investment Service Center at 1-800-877-7210 x6611, option 1

Extension: Contact Annuity Service Center at 1-800-877- 7210 x6370, option 2

Supervision – Home Office Supervision (if applicable) Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Home Office Supervision

Extension: Specific to assigned Supervisory Principal

Supervision – OSJ (if applicable) Resources:

Resource Center > Your Business > Compliance, Legal, and Risk > Supervisor/OSJ

Email: Specific to assigned Designated Principal

Extension: Specific to assigned Designated Principal

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Easy Ways to Stay Engaged with LPL Financial

Daily

Quick check of the Resource Center home page

Listen to or read recap of the Research Morning Call

8:45 a.m. – 9:15 a.m. ET live,

or recap posted to the Resource Center Biweekly

Review the Streamline News (News and updates, conference calls, webinars, and training opportunities) Monthly

Read the Monthly Compliance Alerts

(Compliance, Legal, and Risk specific news and updates) Quarterly

Dial into our Advisor Town Halls and Executive Speaker-Advisor Conference Calls Semiannual

Enjoy LPL Magazine

We also recommend LPL Research Communications

See Resource Center > Search “LPL Research Offerings Brochure”