LPL advisors can utilize the Riskalyze Risk Profile Analysis Tool on their compliance approved websites.
DBA's and associated Logo's must be approved prior to use. As a reminder, any non-LPL email addresses used must be hosted by LPL Financial or approved for journaling to LPL Financial.
Here is a guide to documenting your use of the Riskalyze Risk Profile Analysis tool on the LPL ComplianceMax system:
Most of Section 1 is self-explanatory (name, contact info) which is likely pre-filled. Other notable sections:
Section 1.7 Submission Type: Select "Pre-Approved"
Section 2.1 Name: Type in "Riskalyze"
Section 2.2 LPL Pre-approved Tracking Number: Enter "1-652385"
Section 2.3 Distribution Method: Blog/Website/Social Media
Section 2.5 Source of Material: “other”
Section 2.6 enter “Riskalyze Risk Profile Analysis Tool”
Section 2.7 date of first use: Simply enter a date in the future
Section 2.8 Attachments, click “New Record”
Section 2.8 Select "Browse" button. Upload a PDF or Screenshot of the page showing the icon linking to the tool on your approved website.
Since the Riskalyze Risk Profile Analysis Tool is pre-approved, you do not need to wait for additional approval.
YOU ARE DONE!