NAVIGATING LPL FINANCIAL

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Madeline Floyd
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1 This Guide includes the Following: 1: LPL Phone Tree 2: Department Extensions and Resource Information 3: Easy Ways to Stay Engaged with LPL Financial Member FINRA/SIPC. BC

2 LPL Telephone Tree When you call the main LPL support line, you will have 9 options. You can find details about each option below. The number next to each sub-bullet correlates to the number you will select on your phone keypad. Main Support Line: : Fixed Income 3: Mutual Funds and UITs 4: Commodities and Precious Metals 5: Annuity Order Entry Option 2: Service 1: Specialized Queue Menu 1: Move Money 2: New Accounts and Account Maintenance 3: Account Transfers 4: Direct Business Coming soon w Retirement Services w Managed Account Services 9: Enter 2-Digit Service360 Team # Option 3: Technical Support 1: New case 2: Open case Option 4: Compliance and Registration Service Teams 1: Registrations & Licensing 2: Continuing Education 3: Marketing Regulatory Review 4: All other compliance-related inquiries Option 1: Trading 2»» 2: Annuity Consulting 3 Option 5: Alternative Investment Service Team 9: Enhanced Trading & Rebalancing Tool w 2: Alternative Investments 1: Equity 1: New case»» Alternative Investment Service Center 2: Open case Option 6: Employer Plan Services Service Team 1: New case 2: Open case Option 7: Client Compensation and Client Technology Management 1: Compensation (Commission, Fee Revenue and Expenses) 2: Technology System Access LPL TELEPHONE TREE Option 8: Sales and Insurance 1: Insurance Sales, Illustration Requests, and Policy Design 2: Insurance Case Management and Operations 3: Investment & Planning Solutions 1: Advisory Consulting w 1: Advisory Operations w 2: Advisory Sales and Marketing 2: Products (Annuities, Alternative Investments, Mutual Funds, 529s, ETFs, UITs) w 1: Annuities»» 1: Annuity Order Entry»» Alternative Investment Product Consulting w 3: Mutual Funds, 529 Plans, ETFs, UITs Option 9: Marketing 1: Marketing On Demand (logging in and placing orders) 2: All other marketing-related items

Business Unit Support Information Service, Trading & Operations Service Service Centers please reference Phone Tree on page 2 Technical Support Resource Center > Technology Trading Annuity Order

3 Business Unit Support Information Service, Trading & Operations Service Service Centers please reference Phone Tree on page 2 Technical Support Resource Center > Technology Trading Annuity Order Entry Help Desk / Annuity Operations Resource Center > Search AOE One Stop Shop Annuity.Order.Status@lpl.com Extension: 6370, option 4 Equity Trading Resource Center > Search BranchNet User Guide > select Trading Capabilities Resource Center > Search Investment Processing > select Investment Processing Procedures Extension: 6450 Fixed Income Trading Resource Center > Investment Planning Solutions > Fixed Income Extension: TechSupport@lpl.com Mutual Fund and Unit Investment Trust Trading Extension: Client Compensation & Technology Management Resource Center > Investment Planning Solutions > Mutual Funds Resource Center > Investment Planning Solutions > Unit Investment Trusts Extension: 6399 Enhanced Trading & Rebalancing Resource Center > Technology > Enhanced Trading & Rebalancing Extension: 5800 Precious Metal and Commodity Trading Resource Center > Search Precious Metals Resource Center > Search Commodity Trading Extension: 6294 Operations Departments include: Transfers, Advisory Operations, Cash Management, Client Reporting & Statements, Corporation Actions, Cost Basis, Custody, Direct Business Operations, New Accounts, Tax Reporting, etc. Resource Center > Search topic of interest or Operations Manual Resource Center > Search Operations Best Practices: Quick Reference Cards N/A Please contact Service. Extension: N/A Please contact Service Client Compensation Resource Center > Your Business > Manage Your Business Compensation Compensation.Service@lpl.com Extension: 6123, option 1 Client Technology Management Resource Center > Technology Resource Center > Technology Subscription Agreement (RE-BNKITSUB) Resource Center > Technology Request to Add or Remove Products (RE-BNARP) CTM.Mailbox@lpl.com Extension: 6123, option 2 BUSINESS UNIT SUPPORT INFORMATION

Investment Consulting Resource Center: Investment & Planning Solutions Resource Center: Search IPS Consulting Map Advisory Consulting Resource Center > Investment and Planning Solutions > Platforms

4 Investment Consulting Resource Center: Investment & Planning Solutions Resource Center: Search IPS Consulting Map Advisory Consulting Resource Center > Investment and Planning Solutions > Platforms Extension: 6400, option 1 Alternative Investment Consulting Resource Center > Investment & Planning Solutions > Alternative Investments LPL Private Client (formerly High-Net-Worth Solutions) Marketing LPLFinancialProductConsulting@LPL.com (minimum of $5 million in investible assets) Extension: 6400, option 2 Resource Center > Your Business > Manage Your Business > 7 Marketing Financial Planning Group Resource Center > Investment & Planning Solutions > LPL Private Client Marketing@lpl.com Resource Center > Investment and Planning Solutions > Financial Planning Financial.Planning@LPL.com Extension: 6600, option 3 Insurance and Annuity Consulting Resource Center > Investment & Planning Solutions > Insurance Resource Center > Investment & Planning Solutions > Annuities Insurance.Associates@LPL.com Extension: 7800, option 1 insurance sales; option 2 annuity sales Retirement Partners Retirement plan business held with an LPL-approved recordkeeping (RK) provider Minimum of five plans and $5 million in retirement plan assets For support with other plan business outside of these guidelines, please contact the Employer Plan Services team Resource Center > Search Retirement Plan Consulting Program Resource Center > Search Retirement Partners News (latest updates in Streamline News) LPLPrivateClient@lpl.com Extension: 7074 The Private Trust Company (PTC) Resource Center > Investment & Planning Solutions > Trust Planning & Services Trust.Services@lpl.com Extension: 7990 BUSINESS UNIT SUPPORT INFORMATION Research Resource Center > News & Research > Research Ask.Research@lpl.com Extension: 4755 Conference Experiences Resource Center > Your Business > Manage Your Business > Conferences Conference.Experiences@lpl.com Extension: Extension: 6700, option 1 Marketing Regulatory Review Compliance > Compliance Essentials > Marketing Regulatory Review Ask.Advertising@lpl.com Extension: 6590 Training & Development Resource Center > Your Business > Manage Your Business > Training & Education Client.Training@lpl.com Extension: Please contact your Service Team

Governance, Risk & Compliance Governance, Risk & Compliance (GRC) protects LPL, our financial advisors, and advisors clients with processes and systems that minimize regulatory, legal, security,

5 Governance, Risk & Compliance Governance, Risk & Compliance (GRC) protects LPL, our financial advisors, and advisors clients with processes and systems that minimize regulatory, legal, security, financial, and reputational risk. Advisory Compliance Compliance > Advisory Compliance Extension: 6835 Branch Exams Compliance > Branch Exams Extension: 6835, option 4 Compliance Education & Communication Compliance > Compliance Essentials > Continuing Education and Training LPLFinancial.ContinuingEd@lpl.com Extension: 6835, option 2 ERISA & Retirement Compliance Compliance > Compliance Essentials > ERISA & Retirement Compliance LPLFinancial.ERISAcomplianc box@lpl.com Extension: Contact Retirement Service at Extension: 6515 Financial Intelligence Unit (conference calls, webinars, and in-person training opportunities) BranchExams@lpl.com Compliance > Anti-Money Laundering Compliance > Home Office Supervision Bi-Weekly FIU.mailbox@LPL.com N/A Specific to assigned Supervisory Principal Review the Streamline News (News and Updates) Extension: 6835, option 4 Registration Services Team Compliance > Compliance Essentials > Registration Licensing.Mailbox@lpl.com Extension: 6999 Supervision Complex Product Resource Center > Your Business > Product Supervision N/A Extension: Contact Alternative Investment Service Center at Extension: 6611, option 1 Extension: Contact Annuity Service Center at Extension: 6370, option 2 Supervision Home Office Supervision (if applicable) Extension: Specific to assigned Supervisory Principal Supervision OSJ (if applicable) Compliance > Supervisor/OSJ Specific to assigned Designated Principal Extension: Specific to assigned Designated Principal Easy Ways to Stay Engaged with LPL Financial Daily Quick check of the Resource Center home page Listen to or read recap of the Research Daily Morning Call 8:45 a.m. 9:15 a.m. ET live, or recap posted to the Resource Center Weekly Scan the Learning Opportunities Newsletter Monthly Read the Monthly Compliance Alerts (Governance, Risk and Compliance Specific News and Updates) Quarterly Enjoy award-winning LPL Magazine and dial into our Town Halls and Executive Speaker calls We also recommend LPL Research Communications See Resource Center > Search LPL Research Offerings Brochure LPL BUSINESS FINANCIALUNIT SUPPORT INFORMATION

6 Member FINRA/SIPC. BC

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