Hear the Replay: Quarterly Compliance Call

Hear the Replay: Quarterly Compliance Call

7.07.2015
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We recorded the audio and presentation for you. Access it now.

View the Presentations from the PAG Spring Conference

7.07.2015
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Did you miss out on the PAG Spring 2015 Conference? Now you can view all of the presentations right here on the Resource Center.
View Conference Presentations
Check Out YouTube Playlist

Hear the Replay: Second Quarter Compliance Call

16.04.2015
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We recorded the audio and presentation for you. Access it now.

Hear the Replay: First Quarter Compliance Call

28.02.2015
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We recorded the audio and presentation for you. Access it now.

Hear the Replay: First Market Update Call Hosted by Guy Adami

26.02.2015
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Hear the replay of Guy Adami as he gives his view on the markets and answers some questions you may have. Access it now.

PAG Calendar of Events

25.02.2015
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A new year means a new calendar of events. Don’t forget to put all of our conference calls, webcasts and in-person events in your calendar now so you can plan accordingly. We look forward to connecting with you in one or more of these venues.

Your New ComplianceMAX Reviewer Is Here

24.02.2015
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Jeannine Sanchez
LPL Financial
Senior Analyst | Marketing Regulatory Review
Direct: (858) 367-8650
Toll-free: (800) 877-7210 | ext. 7871
Jeannine is available to you by phone; however, the best way to get a quick response from her is with an email.

Missed the Fourth Quarter Compliance Call? Hear the Replay

23.02.2015
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Don’t fret if you were unable to attend the fourth quarter Compliance Call. We recorded the audio and the presentation for you. Access it now.

New Procedures for Exchanging Variable Annuities

22.02.2015
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LPL Financial has announced new policies effective September 30, 2014, for exchanging annuities for a new variable annuity. View these changes on the Resource Center today!

LPL Financial Out-of-Office Log: Clarity

21.12.2014
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We have received further clarity on the most recent Advisor Policy Alert (2014-15A) about alerting your OSJ when you will be out of the office for one or more business days. This is NOT a requirement for all non-OSJ advisors, but a recommendation. Although this is not a LPL Financial requirement, we encourage you to …

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