Business Continuity Plan (for branch managers only)

The Business Continuity Plan is required for every branch. It is also required to be updated and tested every year and should be given to each new person who joins a branch. You will need to complete, sign & date, and email a copy to compliance@greatvalleyadvisors.com. The last pages of the BCP are the test pages, to be completed within 12 months and also sent to compliance@greatvalleyadvisors.com. Please CLICK HERE for ClientWorks training on BCP.

Branch Office Security Policy

Attached is the Branch Office Security Policy which includes guidelines on the emailing of confidential information. You are required to complete the New Hire Security and Privacy training module on LPL’s Learning Center prior to receiving full ClientWorks Access.

**This module was completed during the onboarding process**

Please familiarize yourself with the attached Branch Office Security Policy, which is also available on the ClientWorks Resource Center for future reference.

Social Media

Your social media training module was completed during the onboarding process; however, you must also enroll in Social Patrol, a tool that allows LPL to capture posts and automatically scan them for review by Marketing Regulatory Review (MRR).

However, you must also enroll in Social Patrol, a tool that allows LPL to automate by capturing posts and automatically scanning them for review by Marketing Regulatory Review. All Facebook, LinkedIn and Twitter accounts must be registered with Social Patrol before you can post content. The attached guide walks you through signing up via the Resource Center in ClientWorks.

How to Open a New Account with LPL

Advertising Review Tool

All pieces of marketing content that contain your logo need to be reviewed and approved by LPL prior to use. LPL’s Advertising Review Tool (ART), a platform within ClientWorks, provides the ability to submit, track, review, and archive your retail and institutional communications and public appearances. This tool offers a paperless solution to meet your branch advertising file review requirements. CLICK HERE for details and training on ART.

LPL ClientWorks Help Desk – Team 40

Contact the Team 40 – GVA’s dedicated service contacts at LPL – Help Desk for any ClientWorks related questions. See the Playbook PDF below for Team 40’s contacts and best practices.

Client Announcement Letter Best Practices

Note: All new advisor documentation is proprietary and should not be shared externally.

GVA Transition Timeline

Marketing Launch Strategy

When Great Valley Advisor Group (GVA) was founded, it was built from the ground up with purpose. And at the forefront, the premise that collaboration drives success. As a GVA advisor you are part of a team, a family, and you are never alone.

GVA offers best-in-class solutions to support you through your transition to independence. Our dedicated Transition Team is focused on YOU, working effectively and efficiently to launch you on our platform as quickly and smoothly as possible.

The GVA Transition Team handles your change of custodian so you can continue to focus on your clients and growing your business. A typical transition takes 4-5 weeks; however, we understand that no two transitions are alike, and, as such we take a personalized approach to each.

GVA Compliance does the
paperwork for you and ensures
you’re up-to-date on the latest
industry and compliance news.

GVA Asset Management manages
client asset allocation, integrates
industry-leading research, and
reports audited performance.

GVA provides options for advisors
to choose their desired exit
approach, all while supporting
the client relationship.

GVA Insurance Brokers offer
full-service security beyond
financial planning and
asset management.

GVA Technology suite provides
effortless integration and
support, tailored to your
business needs.

GVA Virtual Admin removes
the burden of everyday
tasks so you can focus on
clients and assets.