LPL Disclosure Requirements

Customizing Silver and TOTAL to Meet LPL’s Disclosure Requirements

Silver

A customized version of Silver is available which includes LPL’s required disclosures.  The Silver shortcut icon on your desktop (or through program apps) will read “Silver Financial Planner (LPL)”.  If you do not have the LPL version of Silver, install it using the steps below.

Online Edition:
Notify support that you are an LPL Financial member. Your Silver Online account will be promptly changed to reflect the LPL version.

Desktop Edition:
Click the link below to download the latest LPL version of Silver Financial Planner. Choose Run.  This will download and automatically run the installation wizard.

Download: Silver Financial Planner – LPL

After the installation is complete, you see an icon for Silver on your desktop – the new icon will be titled “Silver Financial Planner (LPL)”. You can remove your standard version of Silver Financial Planner through Add/Remove programs from your Control Panel (this will not remove any client data – just the program).

 

TOTAL

There are two steps to this process, adding (1) report header text and (2) a disclaimer.

  1. Report Header

    Within the data input for the client, go to Assumptions and to the first tab, Scenario Information.  Here you will find the “Page Header” field.  Enter the following text:

    Securities and Advisory Services Offered Through LPL Financial – A Registered Investment Advisor, Member FINRA / SIPC

  2. Report Disclaimer 

    TOTAL allows you to import a custom disclaimer page. You need to save the LPL Financial disclaimer to your computer.

    Download: LPL Disclaimer

    Choose to save the file in an easy to find location, like Documents, as you will need to browse to this file to import into the program. Next, open up the TOTAL Planning Suite. Go to the Tools menu and select “Import Company Document -> Disclaimer”

    The program will open a Browse window.  Browse to where you saved the document. Select the LPL_Disclaimer.rtf file and choose OK. No message will display after the import, but the file will be included when you run your Easy Money or Golden Years reports.

    If you are using a default report selection, the disclaimer page will display in the Cover section, below the Table of Contents. If you do not see the disclaimer report, you need add the disclaimer to your custom report selection. For the online edition, go to Reports and the “Report Customization” tab within a client planning scenario. For the desktop edtion, go to the Report Selection menu at the top of the program and select “Create/Modify Custom Reports”

Steps to add the disclaimer to custom report sets:

– Select your custom report set

– Select “Company Documents” from the Report Categories

– Select “Disclaimer” from the Available Report Pages

– Click “Add Selected”

– Move disclaimer placement by using the up or down arrows beside the Selected Pages list

– Click “Save” to save your changes. Save the report with the same name to replace the existing custom report set.