LPL is proactively moving through its Investment Advisor Representative (Series 65/66) lists and updating your 2B to include the conflict language necessary to comply with the launch of Reg BI on June 30th. The process started early this week and will go on for another.
We are aware of several occasions that the biographical 2B information received was not exactly accurate. For instance, yours truly was promoted to CCO at a firm I worked for from 2005-2009 – I never got that memo, lapel pin or pay increase.
Be sure to check your ADV 2B thoroughly. If changes are required, you can make them directly through the RegEd Xchange tool.
To access RegEd Xchange: Log in to Clientworks and navigate to the Resource Center. In the upper left corner hover over the tab ‘Your Business’ and over to the right select ‘RegEd Xchange’. From there select the hyperlink: *Click here to Access RegEd Xchange through RegEd single sign-on*
To create a brand new brochure or update your address or name on a current brochure: In RegEd, click ‘Xchange & IAR Brochure Supplement’ in the upper left hand comer, and click 'Proceed’. From the main menu choose ‘Securities Requests’, then click ‘Create IA Brochure Supplement’
To edit or update your current brochure supplement: In RegEd, from the main menu click ‘Search for Submitted Requests’. Delete the date range, and click ‘Submit'. Find your most recent submission and click 'Reuse' on the left hand side of the record.
To view, print or save your completed brochure supplement: In RegEd, click 'My Profile' and click ‘View in Tab’. Then click ‘Imaging.’ and click the hyperlink file name for the most recent ADV 2B.