Disclosures & Regulatory Information

Form CRS Investor Agreement and Disclosure Handbook Investment Advisory Disclosure and Wrap Fee Brochure

Anti-Money Laundering

To help the government fight the funding of terrorism and money laundering, federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. Therefore, we will verify your personal financial information, such as name, address, SSN/TIN, date of birth and other information for identification purposes, with an independent consumer reporting agency. Beneficial owner(s) and Control Person(s) for legal entities opening an account must also be verified to the same standard as previously described.

According to section 312 of the USA PATRIOT Act, we are required to determine if you or an immediate family member hold an account or maintain a relationship with a Private or Foreign Bank. If so, we must also determine if you or an immediate family member are a “Senior Foreign Political Figure,” defined as follows:

Current or former senior official in the executive, legislative, administrative, military, or judicial branch of a foreign government (elected or not)
A senior official of a major foreign political party
A senior executive of a foreign government-owned commercial enterprise, being a corporation, business or other entity formed by or for the benefit of any such individual (senior executives are individuals with substantial authority over policy, operations or the use of government-owned resources)
An immediate family member of such individual; meaning spouse, parents, siblings, children, and spouse's parents or siblings
Any individual widely and publicly known (or actually known) as a close associate of a senior foreign political figure

If any of the above scenarios is affirmative, we will not be able to open an account for you. During the verification process Lincoln reserves the right to refuse or restrict transactions, and request further information or documentary evidence.

Order Routing Procedures

SEC Rule 606 (formerly known as SEC 11Ac1-6) requires that all broker-dealers routing non-directed orders in equity and option securities must make the identity of the market centers receiving significant percentages of these non-directed orders available to the general public in a regulated format, via the internet, on a quarterly basis.

Trade execution statistics may be reviewed at the following Pershing LLC website: https://www.orderroutingdisclosure.com/

To access the information, enter the following information for the Broker-Dealer’s Full Name:

Lincoln Investment Planning LLC
Then click on Display.
Data related to trade executions on NYSE, AMEX, NASDAQ, or OPTIONS can be found by clicking the respective tab.

Important Information about Using Margin

Lincoln Investment offers margin account capability to sophisticated investors as an accommodation in their Pershing brokerage account. Before deciding whether or not to open a margin account, please carefully read Pershing's Margin Disclosure Statement and Agreement. Discuss any questions you may have with your Lincoln Investment financial professional.

Additional Information Regarding Pershing Brokerage Accounts

Pershing Brokerage Account Fee Schedule (For Additional Questions, please contact your financial professional or Capital Analysts at 800.685.7515 opt 4.)