- Financial Responsibility (client version) Updated 6/5/2018
Advisor Group Adlog: 8962234, LPL Tracking#: 1-736108, RaymondJames Ad#: A18-025109* - Financial Responsibility (prospect version) Updated 6/5/2018
Advisor Group Adlog: 8962234, LPL Tracking#: 1-736108, RaymondJames Ad#: A18-025109*
*While this material has been reviewed and approved by Raymond James Compliance , you will still need to submit the item to RJ compliance with a 1730 for approval of branch specific disclosures.
Please note! For 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.
