All approved content — immutable, timestamped, exam-ready. 8 records (3-year FINRA/SEC retention).
8
Total archived records
3
Retail communications
4
Unique advisors
100%
FINRA retention compliance
| ID | Title | Type | Advisor | Principal | Approved | Retain until | |
|---|---|---|---|---|---|---|---|
| AP-1038 | Seminar Invite: Estate Planning Workshop Email / EventBrite · 1 page | Correspondence | Maria Lopez | M. Rodriguez | Apr 25, 2026 | Apr 2029 | |
| AP-1035 | March Newsletter: Tax-Loss Harvesting Recap Email (2,400 recipients) · 3 pages | Retail Communication | Sarah Chen | M. Rodriguez | Apr 18, 2026 | Apr 2029 | |
| AP-1030 | LinkedIn: Q1 Market Update Carousel LinkedIn (firm page) · 5 slides | Social Media | James Park | R. Kim | Apr 10, 2026 | Apr 2029 | |
| AP-1025 | Client Email: Rate Hike Summary Email (450 recipients) · 1 page | Correspondence | Tom Williams | M. Rodriguez | Mar 28, 2026 | Mar 2029 | |
| AP-1022 | Seminar Slides: Retirement Income Strategies In-person event (82 attendees) · 22 slides | Seminar | Sarah Chen | R. Kim | Mar 15, 2026 | Mar 2029 | |
| AP-1018 | Q4 Annual Letter to Clients Email + US Mail (2,800 recipients) · 4 pages | Retail Communication | Maria Lopez | M. Rodriguez | Mar 5, 2026 | Mar 2029 | |
| AP-1010 | ETF Rebalance Notice Email (900 recipients) · 1 page | Correspondence | James Park | M. Rodriguez | Feb 20, 2026 | Feb 2029 | |
| AP-1005 | 2025 Year-End Tax Reporting Guide Email + Portal (2,400 clients) · 6 pages | Retail Communication | Tom Williams | R. Kim | Jan 12, 2026 | Jan 2029 |