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Like all client communications, we have this material approved by the Advisor Group, Raymond James, and LPL. You must get approval from your compliance department before using any or all portions of these materials.
- Proactive Tax Planning for the SECURE Act
– Advisor Group Case#: 21053990, Raymond James Tracking#: 3112247, LPL #: 1-05017976
- Chad Smith’s Sample Virtual Workshop
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Note to LPL advisors: Once the attached is approved, it is an ‘Approved As Is’ status by the LPL 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. There, they will find instructions on how to use preapproved materials and how to meet their Books and Records requirements.