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1. Ameriprise Advisor Services, Inc. Line 281 on Broker Protocol Spreadsheet
2. Ameriprise Financial Services, Inc. Line 282 on Broker Protocol Spreadsheet
3. Barclays Wealth, Americas Line 723 on Broker Protocol Spreadsheet
4. BB&T Securities, LLC, f/k/a Scott & Stringfellow, LLC
Line 541 on Broker Protocol Spreadsheet
5. Citigroup Global Markets Inc. (“Smith Barney”) Line 2 on Broker Protocol Spreadsheet
6. City Bank Texas Line 798 on Broker Protocol Spreadsheet
7. David A. Noyes & Company Line 130 on Broker Protocol Spreadsheet
8. First Republic Securities Company, LLC
Line 848 on Broker Protocol Spreadsheet
9. J.P. Morgan Securities LLC Line 1061 on Broker Protocol Spreadsheet
10. Lincoln Financial Advisors Line 339 on Broker Protocol Spreadsheet
11. LPL Financial Corporation Line 85 on Broker Protocol Spreadsheet
12. Merrill Lynch, Pierce, Fenner & Smith Incorporated Line 3 on Broker Protocol Spreadsheet
13. MetLife Securities Inc. (MSI) Line 1223 on Broker Protocol Spreadsheet
14. Raymond James Financial Services, Inc. Independent Contractor Division (“ICD”) Line 913 on Broker Protocol Spreadsheet
15. SunTrust Investment Services, Inc. Line 1201 on Broker Protocol Spreadsheet
16. IHT Wealth Management, LLC Line 1192 on Broker Protocol Spreadsheet
17. Texas Bank and Trust Line 1330 on Broker Protocol Spreadsheet
18. Cetera Advisor Networks LLC f/k/a Financial Network Investment Corporation Line 482 on Broker Protocol Spreadsheet
Lincoln Financial Advisors Corporation is a member of the Lincoln Financial Group which is the marketing name for Lincoln National Corporation and its affiliates.
Carrie L. Chelko Chief Counsel
Lincoln Financial Advisors Corp.150 N. Radnor-Chester Road
Radnor, PA 19087 Phone (484) 583-1413
Fax (484) 583-3417 [email protected]
February 27, 2015
Via Email ([email protected])J.T. GyorfySenior Associate, Policy Analyst Public Policy & AdvocacySIFMA1101 New York Ave., Washington, DC, 20005
Re: Broker Protocol Amendment
Dear Mr. Gyorfy:
As you are aware, Lincoln Financial Advisors (“LFA”), a retail broker-dealer affiliated with Lincoln Financial Group (“Lincoln”), consented to joining the Protocol for Broker Recruiting (“Protocol”) on August 31, 2009.
The registered representatives associated with LFA are primarily independent contractors who service retail clients throughout the United States. However, some of LFA’s registered representatives are employees of Lincoln and serve as “Retirement Consultants” to business generated through the Lincoln Retirement Plan Services business unit.
Please be advised that the Lincoln Retirement Consultants, although registered through LFA, are carved-out and excluded from the class of LFA registered representatives covered under the Protocol. As such, LFA and Lincoln will enforce all aspects of the contracts and restrictive covenants it has with its Retirement Consultants. Should you have any questions or concerns, please do not hesitate to contact me at (484) 583-1413.
Best Regards,
Carrie L. Chelko Chief Counsel
