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Registered Investment Advisor

Here's a quick look at what Lincoln Financial Network provides to independent Registered Investment Advisors:

Choosing to be an independent Registered Investment Advisor means you'll determine the advisory services you will provide to your clients. At the same time, Lincoln Financial Network is committed to our advisors who choose to be independent, offering back office support when needed.

Securities regulations require broker-dealers to supervise the activities of registered representatives, which includes business conducted as registered investment advisors.

Client information and transaction detail will also be reviewed on an ongoing basis. Because of this, only Lincoln Financial-approved custodians and trading platforms will be accepted.

Compliance Support
Our knowledgeable investment advisory compliance staff can provide you with guidance in identifying and resolving issues affecting your business including developing and maintaining a privacy policy, creation of client agreements, providing proper notification of advisory fees in compliance with custody rules, and regulatory form filing.

Back-office Operational Support
Our back-office support can provide you with consolidated statements, tax reporting, cost basis accounting, and billing services — all of which can be purchased separately or as a complete package. Our goal is to support you behind the scenes so you can grow your business — providing you with everything you need so you can focus on your clients.

Asset Management
You'll have access to the same asset management services as Investment Advisor Representatives. However, you'll also have the flexibility to take an "unbundled" approach to asset management services, choosing the services that fit your clients' needs, with flexibility in custodial services.

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