Individual Investors:: Disclosures

…your Folse Financial Investment Professional can help make reaching your most important goals a reality!

Thank you for giving us the opportunity to serve you!

The Four Phases

Legal Disclosures
Retirement Plan Disclosures
IRA Rollover Information
Retirement Account Disclosures
Fixed Income Client Statement Pricing Disclosure
SIPC Coverage
Privacy/Security
How LPL Financial Secures Your Information
How to Protect Your Own Information
Business Continuation Plan
LPL Financial FDIC-Insured Bank Deposit Sweep Programs (LPL ICA and DCA)
SEC Disclosures
Fee Schedules
Working with an LPL Advisor: The Choice Between Advisory Services and Brokerage Services
Working with an Independent Investment Advisor Firm: The Difference Between Advisory and Brokerage
Code of Ethics
Disclosures for Market, Equity Price, and Volume Volatility
Fixed Income Extreme Market Conditions Disclosure
Master Account Agreement, Including Investment Product Disclosure and Relationship Guide
LPL LLC Statement of Financial Condition December 31, 2017
LPL LLC Statement of Financial Condition June 30, 2017
LPL LLC Statement of Financial Condition December 31, 2016
LPL LLC Statement of Financial Condition June 30, 2016
LPL LLC Statement of Financial Condition December 31, 2015
Identity Theft Prevention/Red Flag Policy
EMMA / Material Events Disclosure
Call Securities Lottery Disclosure
Account Agreements/Account Packets
Third-Party Portfolio Manager Trading Practices
LPL Financial Firm Brochure and Program Forms for Advisory Services
Notice of Changes Relating to Distributions Upon Death
Investor Regulatory Resources
LPL TurboTax Guide 2017-2018
2017 1099 Tax Form User Manual
2017/2018 Tax Season Guide – Investor Edition
MSRB Education Center
FINRA BrokerCheck Investor Information
MSRB Investor Information