LINCOLN INVESTMENT PLANNING, LLC of FORT WASHINGTON, PA is an SEC-registered investment adviser (CRD 519). Regulatory assets under management: $22.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 52 people.
| Name | Role | Location |
|---|---|---|
| Edward Samuel Jr Forst | ELECTED MANAGER; ELECTED MANAGER/CEO | — |
| Steven Neil Flax | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER; SR VICE-PRESIDENT, HUMAN RESOURCES | — |
| Karen Dougherty Bura | VICE-PRESIDENT, CONTROLLER | — |
| Diane Mulherrin Mccarthy | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | — |
| Shashi Mehrotra | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER; SENIOR VICE-PRESIDENT, CHIEF INVESTMENT STRATEGIST | — |
| Anthony Charles Bueti | EXECUTIVE VICE-PRESIDENT, CHIEF OPERATING OFFICER; SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | — |
| Maureen Ann Mattson | EXECUTIVE VICE-PRESIDENT, CHIEF COMPLIANCE OFFICER; EXECUTIVE-VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| Susan Mary Oberlies | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY; SENIOR VICE-PRESIDENT, DEPUTY GENERAL COUNSEL, CORPORATE SECRETARY AND HEAD OF RISK | — |
| Kathleen Kinslow Leckey | CEO; PRESIDENT; PRESIDENT, CHIEF OPERATING OFFICER | — |
| Daniel Sean Alexander | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | — |
| Jason Christopher Estes | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | — |
| Stephen Thomas Mayhew | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | — |
| MURPHY TIMOTHY GERARD | SR VICE-PRESIDENT, CHIEF OPERATING OFFICER | — |
| KELLY DANIEL JAMES | CHIEF FINANCIAL OFFICER | — |
| MARR NORMAN MARK | SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER; SR VICE-PRESIDENT, CHIEF FINANCIAL OFFICER/TREASURER; VICE-PRESIDENT, CHIEF FINANCIAL OFFICER | — |
| MAYHEW STEPHEN THOMAS | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | — |
| FORST EDWARD JR | ELECTED MANAGER/PRESIDENT/CEO; PRESIDENT/CEO/DIRECTOR; PRESIDENT/CHIEF OPERATIONS OFFICER/DIRECTOR | — |
| FORST THOMAS | DIRECTOR; VICE-PRESIDENT/DIRECTOR; VICE-PRESIDENT/DIRECTOR; SR VICE-PRESIDENT, ADVISOR CONSULTING & DEVELOPMENT (+1 more) | — |
| FORST EDWARD SAMUEL | ASSISTANT SECRETARY/DIRECTOR; DIRECTOR/CHAIRMAN OF THE BOARD; TREASURER/DIRECTOR | — |
| ONEILL KAREN A | ASSISTANT SECRETARY/DIRECTOR; SECRETARY/DIRECTOR | — |
| FORST ROSEMARIE | ASSISTANT SECRETARY/DIRECTOR; DIRECTOR | — |
| FORSTPAULUS MARIELLEN | DIRECTOR | — |
| MENDELSON PAUL S | CHIEF FINANCIAL OFFICER/EXECUTIVE VICE PRESIDENT; CHIEF OPERATIONS OFFICER/EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER (+1 more) | — |
| KOERICK DEIRDRE BRODERICK | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT; EXECUTIVE VICE-PRESIDENT, CHIEF COMPLIANCE OFFICER (+2 more) | — |
| MEHROTRA SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT STRATEGIST; SR VICE-PRESIDENT, CHIEF INVESTMENT STRATEGIST | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-12-10 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS WSPS DID NOT REASONABLY ADDRESS THE REQUIREMENT TO REVIEW AND MONITOR INSTRUCTIONS TO TRANSMIT OR WITHDRAW CUSTOMER FUNDS, INCLUDING A METHOD OF CUSTOMER CONFIRMATION, NOTIFICATION, O… | Final | $35K |
| 2018-09-25 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE RELEVANT PERIOD, AUGUST 1, 2015 THROUGH SEPTEMBER 1, 2017, IT FAILED TO IMPLEMENT REASONABLY DESIGNED SURVEILLANCE PROCEDURES TO MONITOR ITS REGISTERED REPRESENTATIVES' RATES O… | Final | $35K |
| 2018-09-14 | regulatory | THE SEC ALLEGED THAT FROM 4/2013 - 3/2016, CAPITAL ANALYSTS DID NOT ADEQUATELY DISCLOSE THAT IT HAD A CONFLICT OF INTEREST WHEN IT INVESTED CAAMS WRAP FEE CLIENTS IN MUTUAL FUND SHARE CLASSES THAT PAID 12B-1 FEES TO ITS AFFILIATED BROKER-DEALER, LINCOLN INVESTMENT PLANNING, LLC ("LINCOLN INVESTMENT"… | Final | $300K |
| 2018-09-05 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE… | Final | — |
| 2016-01-27 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ENFORCE A SUPERVISORY SYSTEM AND WSPS REASONABLY DESIGNED TO ENSURE AN EFFECTIVE REVIEW OF CONSOLIDATED REPORTS PRODUCED BY REGISTERED REPRESENTATIVES AND PROVIDED TO CUSTOME… | Final | $75K |
| 2008-02-19 | regulatory | IN MARCH 2003, LINCOLN INVESTMENT WAS REQUIRED BY NASD TO COMPLETE A MUTUAL FUND BREAKPOINT SELF-ASSESSMENT. IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULE 2110 FOR THE UNTIMELY MAILING OF CUSTOMER REFUNDS ISSUED PURSUANT TO THE BREAKPOINT SELF-ASSESSMENT. | Final | $15K |
| 1993-03-25 | regulatory | VIOLATIONS GOVERNING RULES OF THE NASD, SEC AND MSRB: INACCURATE FINANCIAL REPORTING: FAILURE TO MAINTAIN MINIMUM NET CAPITAL AS OF PERIOD ENDING 5/31/92; CUSTOMER RESERVE COMP. ERRORS; SHORT-COMINGS IN ESTABLISHMENT, MAINTENANCE AND ENFORCEMENT OF SUPERV. PROCED. OF THE FIRM; FAILURE TO BE PROPERLY… | Final | $8K |
| 1987-10-01 | regulatory | THE APPLICANT EFFECTED THREE (3) TRANSACTIONS IN MUTUAL FUND SECURITIES ON BEHALF OF IOWANS BEFORE OBTAINING PROPER REGISTRATION AS SET FORTH IN SECTION 502 302 CODE OF IOWA 1987 | Final | $250 |
| — | criminal | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| MARLTON | NJ | 100 | 856-596-4830 |
| HORSHAM | PA | 78 | 215-885-7115 |
| LUTZ | FL | 51 | (813) 269-7100 |
| AMHERST | NY | 46 | 716-837-3335 |
| WOODLAND HILLS | CA | 45 | 818-702-0889 |
| LOMBARD | IL | 40 | 630-620-6100 |
| BRAINTREE | MA | 33 | 617-786-1600 |
| FARMINGTON HILLS | MI | 27 | (248)351-6000 |
| TALLAHASSEE | FL | 26 | (800) 330-6115 |
| ROCHESTER | NY | 21 | 585-272-8470 |
| RENTON | WA | 21 | 425-251-5910 |
| CARMEL | IN | 19 | 317-975-5033 |
| INDEPENDENCE | OH | 16 | 216-741-3113 |
| WORCESTER | MA | 14 | 508-752-8284 |
| PHOENIX | AZ | 14 | 877-469-7377 |