ALL FINANCIAL ADVISORS MUST READ AND CHECK BOX BELOW:

All Advisors:  The CSA and CSC designations are strictly prohibited.
Nebraska Advisors:  Only the following official designations are considered acceptable CFP, ChFC, PFS, CFA, CIC, CLU, FSS, LUTCF, CASL, CMFC, AAMS, CRPC, CRPS, AWMA, RP, FIC, FICF, FSA, CTFA, CIMA, CIMC, AEP, CAP, CFBS, CFE, CFS, AIFA, CAIA, CEP, CLTC, CRC, REBC, RFC, RHU, CDFA, CEBS, and CPWA.
Massachusetts Advisors:  The use of words such as “senior”, “retirement,” “elder” or like words combined with words such as “certified,” “chartered,” “adviser,” “specialist” or like words cannot be used in designations.
Washington Advisors:  The following titles listed under DBA IAR WA and LPL IAR WA requires registrations as an Investment Advisor Representative (IAR): Financial Planner, Investment Counselor, Financial Consultant, Investment Consultant, Investment Manager and Investment Planner.
California Advisors:  Are prohibited from using senior designations which are defined as a word, phrase or acronym  or logo that contains the word "senior’, "Medicare," "MediCal," "retire," "mature," "gerontology," "elder," or any variation or synonym of these words within several words of the word "certified," "chartered," "registered," "adviser," "specialist," "consultant," "agent," "broker," "insurance," "planner," "professional," enrolled," "accredited," "analyst," "fellow," or any variation or synonym of one of these words.  CRFA, CSA, and CSS designations are prohibited.   For more information about the use of senior designation, please visit www.insurance.ca.gov

1. You must select LPL advisor version if doing business under LPL or DBA advisor version if doing business under a DBA and Hybrid RIA if doing business as a Hybrid RIA advisor.
2. You must ensure that prior to any direct communication with prospective customers in any state in which you are not registered that you first become registered in that state. Please contact registration at ext. 6999 with questions.
3. The use of all Advice for Life materials requires you to be registered as an Investment Advisor Representative (IARs) prior to use. Please contact registration at ext. 6999.
4. You may only upload your pre-approved DBA name and pre-approved DBA logo/Tagline. For DBA name approval submit your DBA notification form via Service Express/ Compliance Express on Branch Net. For DBA logo/tagline approval, contact Marketing Regulatory Review at ext. 6590.
5. You must list your registered OSJ or non OSJ location phone # and may list additional non- alpha numerical phone # only (i.e. mobile, pager etc...)
6. Uploading your personal photo must only include a visual image. You must not upload your photo with a business name, with clients, with a tagline or any other language.
7. If you intend to change your DBA name, address and/or phone number you must ensure that your new DBA name has been approved by general compliance, your change of address has been submitted and approved by registration as your new registered OSJ or non OSJ address and your new phone # rings into your office before you can use the material with clients and prospects.
8. If you are using a P.O. Box mailing address, it must be on file with registration and must be accompanied with your registered business address. A satellite address cannot be used. (Advisor Alert 06-007)
9. You must only use designations pre-approved by Marketing Regulatory Review and are prohibited from referencing non-existent or self-conferred designations, designations that are proprietary to other Broker/Dealer or referencing legitimate designations in a misleading manner.
10. You are responsible for selecting the correct pre-approved title from the drop-down menu. If doing business under a DBA, only select titles listed under DBA and DBA IAR (if registered as an
    Investment Advisor Representative). If doing business under LPL Financial, only select titles listed under LPL and LPL IAR (if registered as an Investment Advisor Representative).If a Hybrid RIA Advisor, only select titles under Hybrid RIA. If your title is not included you must obtain approval by contacting Merrill directly at 1-866-262-3849 with your Rep ID#.
11. You are required to add your CA or AR Insurance license # if a CA or AR resident advisor.
12. You must only display your pre-approved website and an email address hosted through one of LPL Financial approved host vendors (Advisor Alert 2006-18)
13. INSTITUTION SERVICES ADVISORS: You will have access to some marketing materials that are not compliant if the advisor conducts business on the premises of banks and/or credit unions.  Advisors conducting business in banks and credit unions should only use materials that have a LPL Bank and LPL Credit Union version.  Due to industry regulations, advisors operating on the premises of banks and credit unions are required to state on marketing materials that investments are “Not insured by the FDIC or NCUA; Not a deposit or other obligation of, or guaranteed by, the financial institution; and Subject to investment risks, including possible loss of the principal amount invested.”  If you have questions regarding whether you can use a specific advertisement, you should contact your advertising analyst. 

I, the authorized Registered Representative only, have read and agree to these terms and conditions. I agree that violations of the above-mentioned procedural guidelines may result in disciplinary action pursuant to LPL Financial Marketing Regulatory Review policy and FINRA conduct rules. I agree to print and keep a copy of the compliance requirement page as well as a copy of each marketing material in my branch-advertising file with a list of all recipients.