The Draft 1040(client version) Released 8/6/2018 Advisor Group Adlog: 14861928, LPL Tracking#: 1-756411, RaymondJames Ad#: 2200635*
The Draft 1040(prospect version) Released 8/6/2018 Advisor Group Adlog: 14861936, LPL Tracking#: 1-756411, RaymondJames Ad#: 2200635*
*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.