Advisor Resources
Compliance & Supervision Resources
Quick links
Compliance Team
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David Rich
SVP, Supervision -
Michelle Pugh, MSML
AVP, Regional Supervisory Principal, Supported Dual -
Warren Williams
Sr. Regional Supervisory Principal, MAM -
Lindsey Bessant
Sr. Regional Supervisory Principal, IAN -
Lacie Witherspoon
Regional Supervisory Principal, IAN -
Jeffrey Orlouski
Central Supervisory Principal
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best
practices -
Onboarding & Office Setup Overview
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commonly used documents
- documentation
best practices
- F6 – Options Agreement and Approval
- Brokered CD Disclosure Statement Receipt
- Non-Cash Compensation Requirements and Guidelines
- F631 – Prospectus Delivery Log
- F474 – Check Log
- F441 – Structured Products Agreement
- F456 Permission to Disclose Personally Identifiable Information
- LPL Written Supervisory Procedures
- LPL Branch Office Business Continuity Plan Template
- LPL Advisor Compliance Manual
- LPL Branch Office Security Policy
- FRGIS BCP 08.2025
- documentation
Onboarding & Office Setup Overview
- documentation
commonly used documents
financial institutions
DUE DILIGENCE:
COMMONLY USED DOCS:
RESOURCES
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program manager orientation
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compliance orientation
- orientation
Program manager orientation
Getting Started: Effective Program Management
Intermediate: Program Management Considerations
Advanced: Program Management Requirements
send feedback - orientation
compliance orientation
correspondence
submit monthly correspondence
All reps must submit correspondence monthly for the appropriate month, and attach related correspondence, as applicable. Click Submit button below for more details and the Correspondence Form.