Our branch office conducts business in: [Insert business types such as equity, fixed income, mutual funds and derivative securities]. We accept and enter orders and service [Insert customer type such as retail or institutional] LPL Financial performs all clearing functions and holds customer funds or securities on our behalf. All transactions are sent to LPL Financial, which executes our orders, compares them, allocates them, clears and settles them. LPL Financial also maintains our customers’ accounts, can grant customers access to them, and delivers funds and securities. LPL Financial is located at: Boston Carolinas (Fort Mill) San Diego LPL Financial LPL Financial LPL Financial 75 State St 1055 LPL way 4707 Executive Drive 24th Floor Ft. Mill, SC 29715 San Diego, CA 92121 Boston, MA 02108 Our contact number for LPL Financial is: (800) 877-7210 Office Locations Our office locations are: Office Location #1 [INSERT BRANCH NAME & ADDRESS] [INSERT TELEPHONE NUMBER] [INSERT FUNCTIONS PERFORMED AT THIS LOCATION] Office Location #2 Complete if applicable. If not applicable delete. [INSERT BRANCH NAME & ADDRESS] [INSERT TELEPHONE NUMBER] [INSERT FUNCTIONS PERFORMED AT THIS LOCATION] Physical Location(s) of Employees In the event of an SBD, we will move our staff from affected office(s) to the closest of our unaffected office location(s). If none of our other office locations is available to receive those staff, we will move them to: [INSERT ADDRESS] [INSERT TELEPHONE NUMBER] Rule: Rule 4370(c)(6). Customers’ Access to Funds and Securities
Our branch office conducts business in: [Insert business types such as equity, fixed income, mutual funds and derivative securities]. We accept and enter orders and service [Insert customer type such as retail or institutional] LPL Financial performs all clearing functions and holds customer funds or securities on our behalf. All transactions are sent to LPL Financial, which executes our orders, compares them, allocates them, clears and settles them. LPL Financial also maintains our customers’ accounts, can grant customers access to them, and delivers funds and securities. LPL Financial is located at: Boston LPL Financial 75 State St 24th Floor Boston, MA 02108 Carolinas (Fort Mill) LPL Financial 1055 LPL way Ft. Mill, SC 29715 San Diego LPL Financial 4707 Executive Drive San Diego, CA 92121 Our contact number for LPL Financial is: (800) 877-7210 Office Locations Our office locations are: Office Location #1 [INSERT BRANCH NAME & ADDRESS] [INSERT TELEPHONE NUMBER] [INSERT FUNCTIONS PERFORMED AT THIS LOCATION] Office Location #2 Complete if applicable. If not applicable delete. [INSERT BRANCH NAME & ADDRESS] [INSERT TELEPHONE NUMBER] [INSERT FUNCTIONS PERFORMED AT THIS LOCATION] Physical Location(s) of Employees In the event of an SBD, we will move our staff from affected office(s) to the closest of our unaffected office location(s). If none of our other office locations is available to receive those staff, we will move them to: [INSERT ADDRESS] [INSERT TELEPHONE NUMBER] Rule: Rule 4370(c)(6). Customers’ Access to Funds and Securities
Branch-Office_BCP_Template_June-7-2017.docx