Lincoln investments is registered as a broker-dealer and as an investment adviser. when opening an account for a customer, the firm has the customer sign a statement that discloses that transactions recommended by lincoln advisers are effected through lincoln brokerage, which earns commissions on those trades. obtaining the signed statement would not be required if: a. lincoln advisers recommends the purchase of a security and lincoln brokerage sells the customer that security out of its inventoryb. lincoln advisers recommends the sale of a security and lincoln brokerage executes the sale acting as agent in the otc marketc. the customer effects a trade through lincoln brokerage that was not recommended by lincoln advisersd. the customer signs a waiver covering all disclosures that are legally required
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