navigating lpl financial - npa-ae.com€¦ · navigating lpl financial this guide includes the...

NAVIGATING LPL FINANCIALThis Guide includes the Following: 1: LPL Phone Tree

2: Department Extensions and Resource Information

3: Easy Ways to Stay Engaged with LPL Financial

Member FINRA/SIPC. BC-0040-0217

LPL Telephone TreeWhen you call the main LPL support line, you will have 9 options. You can find details about each option below. The number next to each sub-bullet correlates to the number you will select on your phone keypad.

Main Support Line: 1-800-877-7210

Option 1: Trading

�� 9: Enhanced Trading & Rebalancing Tool

�� 1: Equity

�� 2: Fixed Income

�� 3: Mutual Funds and UITs

�� 4: Commodities and Precious Metals

�� 5: Annuity Order Entry

Option 2: Service

�� 1: Specialized Queue Menu

� 1: Move Money

� 2: New Accounts and Account Maintenance

� 3: Account Transfers

� 4: Direct Business

� Coming soon

w Retirement Services

w Managed Account Services

�� 9: Enter 2-Digit Service360 Team #

Option 3: Technical Support

�� 1: New case

�� 2: Open case

Option 4: Compliance and Registration Service Teams

�� 1: Registrations & Licensing

�� 2: Continuing Education

�� 3: Marketing Regulatory Review

�� 4: All other compliance-related inquiries

Option 5: Alternative Investment Service Team

�� 1: New case

�� 2: Open case

Option 6: Employer Plan Services Service Team

�� 1: New case

�� 2: Open case

Option 7: Client Compensation and Client Technology Management

�� 1: Compensation (Commission, Fee Revenue and Expenses)

�� 2: Technology System Access

Option 8: Sales and Insurance

�� 1: Insurance Sales, Illustration Requests, and Policy Design

�� 2: Insurance Case Management and Operations

�� 3: Investment & Planning Solutions

� 1: Advisory Consulting

w 1: Advisory Operations

w 2: Advisory Sales and Marketing

� 2: Products (Annuities, Alternative Investments, Mutual Funds, 529s, ETFs, UITs)

w 1: Annuities

» 1: Annuity Order Entry

» 2: Annuity Consulting

w 2: Alternative Investments

» Alternative Investment Service Center

» Alternative Investment Product Consulting

w 3: Mutual Funds, 529 Plans, ETFs, UITs

Option 9: Marketing

�� 1: Marketing On Demand (logging in and placing orders)

�� 2: All other marketing-related items

LPL TELEPHONE TREENAVIGATING LPL FINANCIAL

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Service, Trading & Operations

Service

Service Centers – please reference “Phone Tree” on page 2

Technical SupportResources:

�� Resource Center > Technology

�� Email: [email protected]

�� 1-800-877-7210 Extension: 6357

Trading

Annuity Order Entry Help Desk / Annuity OperationsResources:

�� Resource Center > Search “AOE One Stop Shop”


�� 1-800-877-7210 Extension: 6370, option 4

Equity TradingResources:

�� Resource Center > Search “BranchNet User Guide” > select “Trading Capabilities”

�� Resource Center > Search “Investment Processing” > select “Investment Processing Procedures”

�� 1-800-877-7210 Extension: 6450

Fixed Income TradingResources:

�� Resource Center > Investment Planning Solutions > Fixed Income

�� 1-800-877-7210 Extension: 6300

Mutual Fund and Unit Investment Trust TradingResources:

�� Resource Center > Investment Planning Solutions > Mutual Funds

�� Resource Center > Investment Planning Solutions > Unit Investment Trusts

�� 1-800-877-7210 Extension: 6399

Enhanced Trading & RebalancingResources:

�� Resource Center > Technology > Enhanced Trading & Rebalancing

�� 1-800-877-7210 Extension: 5800

Precious Metal and Commodity TradingResources:

�� Resource Center > Search “Precious Metals”

�� Resource Center > Search “Commodity Trading”

�� 1-800-877-7210 Extension: 6294

Business Unit Support Information

BUSINESS UNIT SUPPORT INFORMATIONNAVIGATING LPL FINANCIAL

Operations

Departments include: Transfers, Advisory Operations, Cash Management, Client Reporting & Statements, Corporation Actions, Cost Basis, Custody, Direct Business Operations, New Accounts, Tax Reporting, etc.Resources:

�� Resource Center > Search topic of interest or “Operations Manual”

�� Resource Center > Search “Operations Best Practices: Quick Reference Cards”

�� Email: N/A – Please contact Service.

�� Extension: N/A – Please contact Service

Client Compensation & Technology Management

Client CompensationResources:

�� Resource Center > Your Business > Manage Your Business – Compensation



Client Technology ManagementResources:

�� Resource Center > Technology

�� Resource Center > Technology – Subscription Agreement (RE-BNKITSUB)

�� Resource Center > Technology – Request to Add or Remove Products (RE-BNARP)



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Investment ConsultingResources:

�� Resource Center: Investment & Planning Solutions

�� Resource Center: Search “IPS Consulting Map”

Advisory ConsultingResources:

�� Resource Center > Investment and Planning Solutions > Platforms



Alternative Investment ConsultingResources:

�� Resource Center > Investment & Planning Solutions > Alternative Investments



Financial Planning GroupResources:

�� Resource Center > Investment and Planning Solutions > Financial Planning



Insurance and Annuity ConsultingResources:

�� Resource Center > Investment & Planning Solutions > Insurance

�� Resource Center > Investment & Planning Solutions > Annuities


�� 1-800-877-7210 Extension: 7800, option 1 – insurance sales; option 2 – annuity sales


Retirement Partners �� Retirement plan business held with an LPL-approved recordkeeping (RK) provider

�� Minimum of five plans and $5 million in retirement plan assets

�� For support with other plan business outside of these guidelines, please contact the Employer Plan Services team

Resources:

�� Resource Center > Search “Retirement Plan Consulting Program”

�� Resource Center > Search “Retirement Partners News” (latest updates in Streamline News)

�� 1-866-383-4015

LPL Private Client (formerly High-Net-Worth Solutions) (minimum of $5 million in investible assets)

Resources:

�� Resource Center > Investment & Planning Solutions > LPL Private Client


�� 1-800-877-7210 Extension: 7074

The Private Trust Company (PTC)Resources:

�� Resource Center > Investment & Planning Solutions > Trust Planning & Services


�� 1-800-877-7210 Extension: 7990

ResearchResources:

�� Resource Center > News & Research > Research


�� 1-800-877-7210 Extension: 4755

Conference ExperiencesResources:

�� Resource Center > Your Business > Manage Your Business > Conferences


�� 1-800-877-7210 Extension: 6800

Marketing Resources:

�� Resource Center > Your Business > Manage Your Business > Marketing



Marketing Regulatory ReviewResources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > Marketing Regulatory Review


�� 1-800-877-7210 Extension: 6590

Training & DevelopmentResources:

�� Resource Center > Your Business > Manage Your Business > Training & Education


�� Extension: Please contact your Service Team

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LPL FINANCIAL

Governance, Risk & ComplianceGovernance, Risk & Compliance (GRC) protects LPL, our financial advisors, and advisors’ clients with processes and systems that minimize regulatory, legal, security, financial, and reputational risk.

Advisory ComplianceResources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Advisory Compliance


�� Extension: Contact Compliance Service at 1-800-877-7210 Extension: 6835

Branch ExamsResources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Branch Exams


�� Extension: Contact Compliance Service at 1-800-877-7210 Extension: 6835, option 4

Compliance Education & CommunicationResources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > Continuing Education and Training



ERISA & Retirement ComplianceResources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > ERISA & Retirement Compliance


�� Extension: Contact Retirement Service at 1-800-877-7210 Extension: 6515

Financial Intelligence Unit Resources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Anti-Money Laundering



Registration Services TeamResources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Compliance Essentials > Registration


�� 1-800-877-7210 Extension: 6999

Supervision – Complex ProductResources:

�� Resource Center > Your Business > Product Supervision

�� Email: N/A

�� Extension: Contact Alternative Investment Service Center at 1-800-877-7210 Extension: 6611, option 1

�� Extension: Contact Annuity Service Center at 1-800-877-7210 Extension: 6370, option 2

Supervision – Home Office Supervision (if applicable)Resources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Home Office Supervision

�� Email: N/A – Specific to assigned Supervisory Principal

�� Extension: Specific to assigned Supervisory Principal

Supervision – OSJ (if applicable)Resources:

�� Resource Center > Your Business > Governance, Risk & Compliance > Supervisor/OSJ

�� Email: Specific to assigned Designated Principal

�� Extension: Specific to assigned Designated Principal

Easy Ways to Stay Engaged with LPL Financial

Daily

�� Quick check of the Resource Center home page

�� Listen to or read recap of the Research Daily Morning Call

� 8:45 a.m. – 9:15 a.m. ET live, or recap posted to the Resource Center

Weekly Scan the Learning Opportunities Newsletter (conference calls, webinars, and in-person training opportunities)

Bi-Weekly Review the Streamline News (News and Updates)

Monthly Read the Monthly Compliance Alerts (Governance, Risk and Compliance Specific News and Updates)

Quarterly Enjoy award-winning LPL Magazine and dial into our Town Halls and Executive Speaker calls

We also recommend LPL Research Communications See Resource Center > Search “LPL Research Offerings Brochure”


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Member FINRA/SIPC. BC-0040-0217

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