Policies

Policies

13.06.2014
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Policies
This page contains various links to policies referenced in the Policies and Procedures Manual. Further explanation is available in the Manual. Any questions regarding these policies should be addressed to James Sullivan, Managing Director of Private Advisor Group.

Business Continuity Plan
Proxy Voting Policy

PAG Disclosures for Advisors

28.04.2014
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PAG Disclosures for Advisors
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Disclosures for DBA Advisor

Business card, letterhead and website

Securities offered through LPL Financial, member FINRA/SIPC.
Investment advice offered through Private Advisor Group, a Registered Investment Advisor. Private Advisor Group and [Your DBA Name] are separate entities from LPL Financial.

Envelope

No …

Investment Advisory Agreement

4.03.2014
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Investment Advisory Agreement
Every advisory relationship must have an advisory agreement signed by the client. We have one agreement to be used for all investment accounts. The agreement should be uploaded to BranchNet with the advisory account application. If a client has several accounts, the agreement should be uploaded to BranchNet with one of the account …