Some registered representatives may still utilize cold calling to prospect for new clients. However, phone solicitations may not be made to phone numbers
that are included in federal, state or IPI's do not call list. As fines may be substantial for each call that violates a do not call restriction, it
is important to comply with these requirements.
If someone has asked to be included on the IPI's do not call list, that person may not be called regardless of whether they are a current customer or have
an established business relationship. Please forward any do not call names and phone numbers that you have received previously in your branch office and continue to forward the information when requested to firstname.lastname@example.org.
Keep in mind that the following are prohibited when calling clients or prospective clients:
threats, intimidation, and the use of profane or obscene language
calling a person repeatedly with intent to annoy, abuse or harass the called party
using an alias
blocking caller id information
abandon any outbound telephone call disclose or receive unencrypted consumer account numbers to use in telemarketing.
General Guidelines for Phone Solicitations:
The caller must provide the called party, at the beginning or in the introductory portion of the script, the name of the caller; the name of the person
or entity on whose behalf the call is being made (Investment Planners, Inc.); a telephone number or address at which the caller may be contacted; and
disclosure that the purpose of the call is to solicit the purchase of securities or related services.
Telephone solicitations to residences may not be made before 8:00 a.m. or after 9:00 p.m. in the time zone of the called party's location.
Please note that these restrictions do not apply to calls to clients for whom IPI carries accounts and where the account has had some activity in the last
12 months (trading, credit of interest earned, etc.).
For additional questions on phone solicitations, please contact Renee Emrick.