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NAVIGATING LPL FINANCIALThis Guide includes the Following: 1: LPL Phone Tree
2: Department Extensions and Resource Information
3: Easy Ways to Stay Engaged with LPL Financial
Member FINRA/SIPC. BC-0040-0217
LPL Telephone TreeWhen you call the main LPL support line, you will have 9 options. You can find details about each option below. The number next to each sub-bullet correlates to the number you will select on your phone keypad.
Main Support Line: 1-800-877-7210
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
Option 2: Service
�� 1: Specialized Queue Menu
� 1: Move Money
� 2: New Accounts and Account Maintenance
� 3: Account Transfers
� 4: Direct Business
� Coming soon
w Retirement Services
w Managed Account Services
�� 9: Enter 2-Digit Service360 Team #
Option 3: Technical Support
�� 1: New case
�� 2: Open case
Option 4: Compliance and Registration Service Teams
�� 1: Registrations & Licensing
�� 2: Continuing Education
�� 3: Marketing Regulatory Review
�� 4: All other compliance-related inquiries
Option 5: Alternative Investment Service Team
�� 1: New case
�� 2: Open case
Option 6: Employer Plan Services Service Team
�� 1: New case
�� 2: Open case
Option 7: Client Compensation and Client Technology Management
�� 1: Compensation (Commission, Fee Revenue and Expenses)
�� 2: Technology System Access
Option 8: Sales and Insurance
�� 1: Insurance Sales, Illustration Requests, and Policy Design
�� 2: Insurance Case Management and Operations
�� 3: Investment & Planning Solutions
� 1: Advisory Consulting
w 1: Advisory Operations
w 2: Advisory Sales and Marketing
� 2: Products (Annuities, Alternative Investments, Mutual Funds, 529s, ETFs, UITs)
w 1: Annuities
» 1: Annuity Order Entry
» 2: Annuity Consulting
w 2: Alternative Investments
» Alternative Investment Service Center
» Alternative Investment Product Consulting
w 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
LPL TELEPHONE TREENAVIGATING LPL FINANCIAL
2 3
Service, Trading & Operations
Service
Service Centers – please reference “Phone Tree” on page 2
Technical SupportResources:
�� Resource Center > Technology
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6357
Trading
Annuity Order Entry Help Desk / Annuity OperationsResources:
�� Resource Center > Search “AOE One Stop Shop”
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6370, option 4
Equity TradingResources:
�� Resource Center > Search “BranchNet User Guide” > select “Trading Capabilities”
�� Resource Center > Search “Investment Processing” > select “Investment Processing Procedures”
�� 1-800-877-7210 Extension: 6450
Fixed Income TradingResources:
�� Resource Center > Investment Planning Solutions > Fixed Income
�� 1-800-877-7210 Extension: 6300
Mutual Fund and Unit Investment Trust TradingResources:
�� Resource Center > Investment Planning Solutions > Mutual Funds
�� Resource Center > Investment Planning Solutions > Unit Investment Trusts
�� 1-800-877-7210 Extension: 6399
Enhanced Trading & RebalancingResources:
�� Resource Center > Technology > Enhanced Trading & Rebalancing
�� 1-800-877-7210 Extension: 5800
Precious Metal and Commodity TradingResources:
�� Resource Center > Search “Precious Metals”
�� Resource Center > Search “Commodity Trading”
�� 1-800-877-7210 Extension: 6294
Business Unit Support Information
BUSINESS UNIT SUPPORT INFORMATIONNAVIGATING LPL FINANCIAL
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 or “Operations Manual”
�� 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 CompensationResources:
�� Resource Center > Your Business > Manage Your Business – Compensation
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6123, option 1
Client Technology ManagementResources:
�� Resource Center > Technology
�� Resource Center > Technology – Subscription Agreement (RE-BNKITSUB)
�� Resource Center > Technology – Request to Add or Remove Products (RE-BNARP)
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6123, option 2
4 5
Investment ConsultingResources:
�� Resource Center: Investment & Planning Solutions
�� Resource Center: Search “IPS Consulting Map”
Advisory ConsultingResources:
�� Resource Center > Investment and Planning Solutions > Platforms
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6400, option 1
Alternative Investment ConsultingResources:
�� Resource Center > Investment & Planning Solutions > Alternative Investments
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6400, option 2
Financial Planning GroupResources:
�� Resource Center > Investment and Planning Solutions > Financial Planning
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6600, option 3
Insurance and Annuity ConsultingResources:
�� Resource Center > Investment & Planning Solutions > Insurance
�� Resource Center > Investment & Planning Solutions > Annuities
�� Email: [email protected]
�� 1-800-877-7210 Extension: 7800, option 1 – insurance sales; option 2 – annuity sales
BUSINESS UNIT SUPPORT INFORMATIONNAVIGATING LPL FINANCIAL
Retirement Partners �� Retirement plan business held with an LPL-approved recordkeeping (RK) provider
�� Minimum of five plans and $5 million in retirement plan assets
�� For support with other plan business outside of these guidelines, please contact the Employer Plan Services team
Resources:
�� Resource Center > Search “Retirement Plan Consulting Program”
�� Resource Center > Search “Retirement Partners News” (latest updates in Streamline News)
�� 1-866-383-4015
LPL Private Client (formerly High-Net-Worth Solutions) (minimum of $5 million in investible assets)
Resources:
�� Resource Center > Investment & Planning Solutions > LPL Private Client
�� Email: [email protected]
�� 1-800-877-7210 Extension: 7074
The Private Trust Company (PTC)Resources:
�� Resource Center > Investment & Planning Solutions > Trust Planning & Services
�� Email: [email protected]
�� 1-800-877-7210 Extension: 7990
ResearchResources:
�� Resource Center > News & Research > Research
�� Email: [email protected]
�� 1-800-877-7210 Extension: 4755
Conference ExperiencesResources:
�� Resource Center > Your Business > Manage Your Business > Conferences
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6800
Marketing Resources:
�� Resource Center > Your Business > Manage Your Business > Marketing
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6700, option 1
Marketing Regulatory ReviewResources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > Marketing Regulatory Review
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6590
Training & DevelopmentResources:
�� Resource Center > Your Business > Manage Your Business > Training & Education
�� Email: [email protected]
�� Extension: Please contact your Service Team
6 7
LPL FINANCIAL
Governance, Risk & ComplianceGovernance, Risk & Compliance (GRC) protects LPL, our financial advisors, and advisors’ clients with processes and systems that minimize regulatory, legal, security, financial, and reputational risk.
Advisory ComplianceResources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Advisory Compliance
�� Email: [email protected]
�� Extension: Contact Compliance Service at 1-800-877-7210 Extension: 6835
Branch ExamsResources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Branch Exams
�� Email: [email protected]
�� Extension: Contact Compliance Service at 1-800-877-7210 Extension: 6835, option 4
Compliance Education & CommunicationResources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > Continuing Education and Training
�� Email: [email protected]
�� Extension: Contact Compliance Service at 1-800-877-7210 Extension: 6835, option 2
ERISA & Retirement ComplianceResources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > ERISA & Retirement Compliance
�� Email: [email protected]
�� Extension: Contact Retirement Service at 1-800-877-7210 Extension: 6515
Financial Intelligence Unit Resources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Anti-Money Laundering
�� Email: [email protected]
�� Extension: Contact Compliance Service at 1-800-877-7210 Extension: 6835, option 4
Registration Services TeamResources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > Registration
�� Email: [email protected]
�� 1-800-877-7210 Extension: 6999
Supervision – Complex ProductResources:
�� Resource Center > Your Business > Product Supervision
�� Email: N/A
�� Extension: Contact Alternative Investment Service Center at 1-800-877-7210 Extension: 6611, option 1
�� Extension: Contact Annuity Service Center at 1-800-877-7210 Extension: 6370, option 2
Supervision – Home Office Supervision (if applicable)Resources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Home Office Supervision
�� Email: N/A – Specific to assigned Supervisory Principal
�� Extension: Specific to assigned Supervisory Principal
Supervision – OSJ (if applicable)Resources:
�� Resource Center > Your Business > Governance, Risk & Compliance > Supervisor/OSJ
�� Email: Specific to assigned Designated Principal
�� Extension: Specific to assigned Designated Principal
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 Daily Morning Call
� 8:45 a.m. – 9:15 a.m. ET live, or recap posted to the Resource Center
Weekly Scan the Learning Opportunities Newsletter (conference calls, webinars, and in-person training opportunities)
Bi-Weekly Review the Streamline News (News and Updates)
Monthly Read the Monthly Compliance Alerts (Governance, Risk and Compliance Specific News and Updates)
Quarterly Enjoy award-winning LPL Magazine and dial into our Town Halls and Executive Speaker calls
We also recommend LPL Research Communications See Resource Center > Search “LPL Research Offerings Brochure”
BUSINESS UNIT SUPPORT INFORMATIONNAVIGATING LPL FINANCIAL
8 9
Member FINRA/SIPC. BC-0040-0217