4th Quarter Newsletter 2023

Quarterly Newsletter

Like all of our client communications, we have had these letters approved by the OSAIC and LPL broker-dealers’ compliance departments. You must get approval from your compliance department before using any or all portions of these letters.


Please note: some versions of Word may disrupt the formatting of these newsletters. To show you what we suggest this newsletter should look like, we added a PDF below to confirm the correct layout.

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Note to Raymond James advisors: While this material has been reviewed by Raymond James Supervision – Advertising Review, you will still need to submit the item to RJ Supervision – Advertising Review for review/approval of specific branch disclosures. If the submission is not altered and you are using Raymond James logo and disclosure, then please submit it as an archive only. However, if it is altered or you use a DBA name, then please ensure it contains the appropriate non-affiliation disclosure and is submitted according to the applicable format.

Note to LPL Advisors: Specific articles with LPL tracking numbers have been given an ‘Approved As Is’ status by Marketing Regulatory Review. For advisors who want to use and/or customize preapproved materials, they must first be directed to Chapter 15 (Communications with the Public), Section 26.3 (Pre-Approved Communications), of the Advisor Compliance Manual posted on Branch Net. New LPL subscribers must have their initial newsletter template submitted and approved through ComplianceMAX.