Branch Compliance Files

Branch Compliance Files

29.01.2020
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Branch Compliance Files
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The Branch Files that must be maintained in your office are these:
Upload to the Branch Files In ClientWorks (Electronic)

Advertising (ComplianceMAX)
Business Continuity Plan (auto-updated and submitted to ClientWorks by PAG)
Check and Securities Receipt File (F474/A57 & F473 plus a copy …

Setting Up the Office

3.04.2014
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Setting Up the Office
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Signage

You must at all times prominently display your affiliation with LPL Financial, Private Advisor Group, FINRA and SIPC, and you must disclose these affiliations at the entrance to your office.
Signs and decals for LPL Financial are available …