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2020067908701 Zachary Hansen CRD 5553180 AWC gg (2022-1662855608096).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067908701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Zachary Hansen (Respondent) Former General Securities Representative CRD No. 5553180 Pursuant to FINRA Rule 9216, Respondent Zachary Hansen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

21-01650.pdf

21-02668.pdf

20-02025.pdf

20-03966.pdf

2020068870301 LPL Financial LLC CRD 6413 AWC lp (2022-1662855601116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068870301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: LPL Financial LLC (Respondent) Member Firm CRD No. 6413 Pursuant to FINRA Rule 9216, Respondent LPL Financial LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

OTC Reporting Facility (ORF) Testing

Update/Replace SAA Process Webinar

This webinar will provide an overview of two new self-service features: The first feature allows firms to replace their current SAA and grant SAA privileges to another user, and the second enables the SAA to update their account information (i.e., name and email address).

Update/Replace SAA Process Webinar

22-00729.pdf

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