Disclosures & Regulatory Information

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:

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.)

Business Continuity Plan

The Lincoln Investment Companies have established emergency preparedness plans and procedures that address the possibility of a significant business disruption that could result from power outages, natural disasters and other events. This business continuity plan is reviewed, updated and tested on a regular basis and provides for continuation of investor services in the event of a disruption.

A few examples of what might occur if we were to experience a business disruption of varying magnitudes includes, but is not limited to:

While no contingency plan can eliminate all risk of service interruption or temporarily impediments to account access, we will assess and update the firm's plans to mitigate all reasonable risk. Our business continuity plan is subject to modification. Investors may at any time request an updated written copy by mail.