Marketing & Advertising Submissions:
Procedural Updates for LPL Advisors
Effective immediately, Goss Advisors is amending its submission requirements of marketing and advertising submissions for LPL affiliated advisors. 

Moving forward, all marketing and advertising directed, even in part, to advisory clients of Goss Advisors must be submitted to the firm through BasisCode, in addition to submitting pieces to LPL Financial via ComplianceMax.

All firms have a responsibility to maintain complete and accurate books and records. During 2020, changes to the method in which LPL Financial reviews and archives items within their ComplianceMax marketing review system has created greater burdens on our side to obtain and maintain full records that include our requirement to review submissions and document such promptly. Goss has made the decision detailed above based upon these circumstances.

Items to be submitted may include any of the following:

  • Articles or Article Reprints

  • Stationary or Business Cards

  • Magazine / Newspaper / Press Releases

  • Public Event Content or Seminar Materials

  • Social Media Content

  • Website Content

  • Podcast or Blog Content / Scripts

Upon submission to LPL Financial, your marketing material is assigned a tracking number. You will need this number when you upload your submission to Goss via BasisCode. Once submitted to both Goss as your RIA and LPL Financial, you will need final approval from both parties before using your marketing materials.

Click here to view the complete Compliance Bulletin, including step-by-step instructions for the BasisCode submission process.
As always, you can also browse past Compliance Bulletins and Compliance Alerts on the Goss Gateway Help Center.

Thank you for your attention to this bulletin, and please don't hesitate to contact the Goss Compliance team for additional questions.
Securities offered through LPL Financial. Member FINRA/SIPC. Investment advice offered through GWM Advisors, a registered investment advisor. GWM Advisors and Goss Advisors are separate entities from LPL Financial.
 
The information contained in this email message is being transmitted to and is intended for the use of only the individual(s) to whom it is addressed. If the reader of this message is not the intended recipient, you are hereby advised that any dissemination, distribution or copying of this message is strictly prohibited. If you have received this message in error, please immediately delete.