OSJ Branch Managers are responsible for assuring that all advisors and administrative staff under their supervision are in compliance with all federal, state, and FINRA rules and regulations, as well as all LPL Financial policies and procedures.


what is an OSJ manager?

OSJ Branch Managers are responsible for assuring that all advisors and administrative staff under their supervision are in compliance with all federal, state, and FINRA rules and regulations, as well as all LPL Financial policies and procedures.

what is an office of convenience?

Rule 3010(g)(2)(A)(iv) exempts from branch office registration “offices of convenience.” An office of convenience is defined as a location where an associated person occasionally and exclusively by appointment meets with customers, provided such location is not held out to the public as an office.

whats an OSJ?

An Office of Supervisory Jurisdiction (OSJ) is an office identified by the broker dealer as having supervisory responsibilities for agents and branch offices within its region. The OSJ has final approval of new accounts, and retail communication, The OSJ may also make markets or structures offerings.