SERVICES OF LPL. LPL acts as the broker-dealer of record on the account and also provides custody of the assets in the Plan’s account. LPL is responsible for providing the periodic statements for the Plan’s account. LPL is a broker-dealer registered with the Securities and Exchange Commission. LPL is a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Securities Investors Protection Corporation (“SIPC”). LPL does not provide investment advice to the Plan and is not acting as an investment advisor registered under the Investment Advisers Act of 1940 or under state investment advisor laws. LPL does not provide services as a “fiduciary” under section 3(21) of ERISA, section 4975 of the Internal Revenue Code or other applicable law. If LPL or your Advisor provides investment advisory or other services to the Plan pursuant to a different program or agreement, please refer to the applicable account agreement and/or disclosure documents in connection with those services.
Appears in 6 contracts
Samples: Account Agreement, Account Agreement, Account Agreement
