Lexington Compliance Hotline



Free Compliance Hotline* Now Offered by Scottrade® Advisor Services and Lexington Compliance

At Scottrade® Advisor Services, we’re always looking for new ways to help RIAs like you meet the needs of both your clients and your practice. We focus on providing the tools and support you need to maintain an independent practice, enabling you to stay focused on providing outstanding services to your clients.

As your practice grows, your compliance review and support needs may increase. That’s why Scottrade® Advisor Services is pleased to announce the establishment of a free compliance hotline for your basic compliance questions. Provided by Lexington Compliance, a division of RIA in a Box, this time-saving service is available to RIAs who custody their assets at Scottrade.

The Lexington Compliance team includes former state regulators prepared to answer common compliance and regulatory questions that arise in your daily operations. This free hotline makes it easy for you to get the professional guidance you need to run your business and confidently serve your clients. Just follow these simple steps to enroll:

  • Download and complete the Lexington Compliance Consulting Services Agreement and Scottrade Compliance Services Agreement.
  • Return the completed forms to your relationship team.
  • A member of your relationship team will contact you with additional details about the service.

Compliance services at no additional charge*.
Just one more reason registered investment advisors are saying “I’m with Scottrade® Advisor Services.”

Contact Us with Enrollment Questions

Return to Going Independent with Scottrade

*The scope of the service will include basic questions about the operation of a registered investment advisor and related compliance and registration areas. If an inquiry requires extensive research, significant review of materials or drafting of materials, then Lexington will offer its standard compliance consulting packages for a fee. If you choose to retain Lexington for compliance consulting services that are outside the scope of the hotline, you are responsible for making all required payments.

Scottrade and Lexington are not affiliated. Scottrade is not responsible for statements, offers or products issued by Lexington. Please research any product or service carefully before making a purchase.

Scottrade® Advisor Services is a division of Scottrade, Inc. All products and services offered by Scottrade, Inc. – Member FINRA /SIPC.

Any specific securities, or types of securities, used as examples are for demonstration purposes only. No information on this web site should be considered a recommendation or solicitation to invest in, or liquidate, a particular security or type of security.

Investors should consider the investment objectives, risks, charges, and expenses of mutual fund carefully before investing. A prospectus contains this and other information about the fund and is available through www.scottrade.com or through a Scottrade branch office. The prospectus should be read carefully before investing. No transaction fee (NTF) funds and Load Waived funds are subject to the terms and conditions of the program. Scottrade is compensated by the funds participating in these programs through recordkeeping, shareholder, or SEC 12b-1 fees.

Investors should consider the investment objectives, charges, expense, and unique risk profile of an Exchange Traded Fund (ETF) carefully before investing. Leveraged and Inverse ETFs may not be suitable for all investors and may increase exposure to volatility through the use of leverage, short sales of securities, derivatives and other complex investment strategies. These funds' performance will likely be significantly different than their benchmark over periods of more than one day, and their performance over time may in fact trend opposite of their benchmark. Investors should monitor these holdings, consistent with their strategies, as frequently as daily. A prospectus contains this and other information about the ETF and should be obtained from the issuer. The prospectus should be read carefully before investing.

MoneyGuidePro™ was ranked #1 financial planning software in the Financial Planning Magazine 2011 Technology Survey.

Scottrade and MoneyGuidePro are not affiliated. Scottrade is not responsible for statements, offers, or products issued by MoneyGuidePro. Please research any product or service carefully before making a purchase.

1Voted #1 CRM and #1 Technology Product in the 2012 InvestmentNews 2012 Adviser Technology Study

2Redtail CRM was voted #1 CRM and #1 Technology Product in the 2012 InvestmentNews 2012 Adviser Technology Study and MoneyGuidePro™ was voted #1 financial planning software in the Financial Planning Technology Survey 2011

Margin trading involves interest charges and risks, including the potential to lose more than deposited or the need to deposit additional collateral in a falling market. The Margin Disclosure Statement and Agreement (PDF) is available for download, or it is available at one of our branch offices. It contains information on our lending policies, interest charges, and the risks associated with margin accounts.

Options involve risk and are not suitable for all investors. Detailed information on our policies and the risks associated with options can be found in the Scottrade Options Application and Agreement, Brokerage Account Agreement, and by downloading the Characteristics and Risks of Standardized Options and Supplements (PDF) from The Options Clearing Corporation, or by requesting a copy from your local branch offices. Market volatility, volume, and system availability may impact account access and trade execution. Supporting documentation for any claims will be supplied upon request.

Online market and limit stock trades are just $7 for stocks priced $1 and above.

Select investments are commission free to those using Scottrade’s online platforms. Other fees and charges may apply.

Market volatility, volume, and system availability may impact account access and trade execution.

Scottrade® Advisor Services will reimburse transfer fees up to $100 charged by another broker when your clients transfer an account or household of accounts with a total value of $50,000 or more to Scottrade. Household is defined by mailing address. The transfer reimbursement does not currently have a termination date. However, Scottrade Advisor Services reserves the right to terminate this offer at any time without prior notice or extend the offer at its sole discretion. Void where prohibited.

Testimonials may not be representative of the experience of other clients and are no guarantee of future performance or success.

Scottrade, the Scottrade logo and Scottrade® Advisor Services are the registered trademarks of Scottrade, Inc. and its affiliates.

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