Fillable Regulatory Disclosures printable pdf download

REGULATORY DISCLOSURES

DISCLOSURE TO ASSOCIATED PERSON SIGNING OR ACKNOWLEDGING FORM U4

The Form U4 contains a predispute arbitration clause. It is in item 5 in section 15A of the Form U-4. You should read that clause now. Before signing the Form

U4, you should understand the following:

You are agreeing to arbitrate any dispute, claim, or controversy that may arise between you and your firm, or a customer, or any other person that is

required to be arbitrated under the rules of the self-regulatory organizations with which you are registering. This means you are giving up the right to sue

a member, customer, or another associated person in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in

which a claim is filed.

A claim alleging employment discrimination, including a sexual harassment claim, in violation of a statute, is not required to be arbitrated under FINRA

rules. Such a claim may be arbitrated at FINRA only if the parties have agreed to arbitrate it, either before or after the dispute arose. The rules of other

arbitration forums may be different.

A dispute arising under a whistleblower statue that prohibits the use of predispute arbitration agreements is not only required to be arbitrated under

FINRA rules. Such a dispute may be arbitrated only if the parties have agreed to arbitrate it after the dispute arose.

Arbitration awards are generally final and binding; a party’s ability to have a court reverse or modify an arbitration award is very limited.

The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.

The arbitrators do not have to explain the reason(s) for their award unless, in an eligible case, a joint request for an explained decision has been submitted

by all parties to the panel at least 20 days prior to the first scheduled hearing date.

The panel of arbitrators may include arbitrators who were or are affiliated with the securities industry, or public arbitrators, as provided by the rules of the

arbitration forum in which a claim is filed.

The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may

be brought in court.

ACCURATE COMPLETION OF FORM U4

I certify that the information provided in the attached Form U-4 is true, correct and complete to the best of my knowledge. I authorize investigation and

verification of any statements I have made therein. I release from liability all persons and companies supplying such information.

I further understand that I may not solicit nor transact securities business until I have been approved by FINRA and the appropriate state(s); and received

specific approval from the LPL Financial Registration Department.

Incidents of substantial non-disclosure will also be carefully reviewed by LPL Financial. Immediate termination can result from this action.

PREVIOUS EMPLOYER REFERENCE LETTER

LPL Financial LLC (LPL) is required by FINRA to contact all of your previous employers for the past three years. After you have joined LPL, a Reference Letter will

be sent to those employers. Please provide a contact name and address for all of your previous employers for the past 3 years.

________________________________________________________________________________________________________________________________________________

EMAIL POLICY ATTESTATION

Select one of the following

I will use my assigned email account exclusively for my securities-related business email.

I am an Institutional Services Advisor utilizing the email address listed below provided by my financial institution for retail, non-securities related business.

Concurrently, I am exclusively using my assigned email address for all securities-related business email.

Financial Institution Email address:___________________________________________________

I will use an approved DBA email address hosted with the LPL approved vendor listed below.

Email address:_________________________________________________

Host: Advisor Mail

Erado

Smarsh

Email address:_________________________________________________

Host: Advisor Mail

Erado

Smarsh

I am an Institutional Services Advisor utilizing an email address provided by my financial institution (listed below) for non-securities related retail bank/credit

union business only (i.e. not brokerage, advisory, or LPL Financial insurance related email messages). Concurrently, I am exclusively using my assigned

email address for all securities-related (i.e. brokerage, advisory, and/or LPL Financial insurance related email messages) business email.

Financial Institution Email address:___________________________________________________

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