How to submit your profile and campaigns to your LPL compliance analyst? ** For LPL Advisors Only **

Looking to use the Snappy Kraken platform and launch campaigns, but you need compliance approval first? Check out the steps to submit your profile and campaigns to your LPL compliance analyst.

Steps to Approve Your Profile

  1. Download the PDF.  Go to account Business Information > Unlock Profile ( make your changes) > Download Profile *If you make changes after downloading the PDF, you will need to download a new PDF.  
  2. Upload to ART
  3. Select No. A pop-up will appear asking if the information you are submitting is approved.  You will select know because you are submitting it to get the updated information/ changes approved.  *Selecting No will send the PDF to the compliance analyst for review, selecting Yes will archive the PDF and the compliance analyst will never see the document.image (1)-1

**Please ensure you download and resubmit your newest profile version when updates or changes are made.


Steps to Approve Your Campaigns

  1. Download the PDF.  Go to Library Choose Your Campaign > PersonalizeCustomize Campaign > Submit for Compliance > Download PDF *If you make changes after downloading the PDF, you will need to download a new PDF. 
  2. Upload to ART
  3. Select No. A pop-up will appear asking if the information you are submitting is approved.  You will select know because you are submitting it to get the updated information/ changes approved.  *Selecting No will send the PDF to the compliance analyst for review, selecting Yes will archive the PDF and the compliance analyst will never see the document.image (1)-1

**All campaigns are pre-approved by LPL.  Compliance approval is only required if you make changes to the existing campaign.