LPL Branch Office Security Policies

Branch office staff members must safeguard the security and confidentiality of PII from unauthorized access, alteration or destruction; protect against anticipated threats or hazards to the security or integrity of the information; protect against unauthorized access to or use of the information that could result in substantial harm or inconvenience to a customer or LPL Financial; and ensure the proper disposal of the information.

A Branch Office staff member must not disclose any PII regarding a customer to anyone other than the customer or staff members who have a legitimate business need for obtaining the information, or as contained in the policies and standards of LPL Financial.

1 Regulation S-P is a regulation promulgated by the SEC and can be found at 17 CFR Part 248. Section 248.30 of Regulation S-P. Regulation S-P requires every regulated entity to adopt policies and procedures that address administrative, technical and physical safeguards for the protection of customer records and information. See http://www.sec.gob/rules/final/34-42974.htm

Any violation of this Policy and its Standards, intentional or unintentional, must be promptly reported immediately to the Privacy Office of LPL Financial via the Security Incident Hotline: (866) 578-7011.

This policy establishes a standard LPL Financial branch office approach to safeguarding PII by:

Roles and Responsibilities

It is the responsibility of the Office of Supervisory Jurisdiction (“OSJ”) to ensure that every staff member reads and adheres to the Policy and Standards and related communications. LPL Financial will evaluate the effectiveness of the BOSP annually or when there is a material change in its business practices or in the business practices of its branch offices.

OSJs are required to annually attest to the compliance of their respective branches and should have procedures in place to ensure continual compliance.

For those branches under the supervision of the LPL Financial home office, it is the responsibility of each financial advisor and staff member to read and adhere to BOSP and related communications.

Written procedures must be maintained within the Branch Office that instruct office staff on the appropriate methods for complying with these standards. You may be asked to provide these procedures and other evidence demonstrating compliance with these standards during compliance examinations.

It is a violation of the duties required under the BOSP to disable, bypass, circumvent, or otherwise attempt to negate the information security measures of LPL Financial. Any individual found in violation of this Policy may be subject to disciplinary action, including monetary penalties, termination of affiliation with the firm, or legal action depending on the severity of the violation.

Please contact for all questions and comments concerning the BOSP to the LPL Financial Privacy Office.