forms & agreements


Many forms are PDF files and will require Adobe Acrobat to download. (click here to download Adobe for free).

·      You may complete the form by printing it and filling it in by hand or electronically while on line and then save it to your desktop.

·      You will need to print and sign the form, then return it to LPL Financial by mail or fax.


Mail to: Fax to:

LPL Financial
ATTN: Trade Direct
PO BOX 509049
San Diego, CA 921050-9049

(858) 202- 8500

 

FORMS BY CATEGORY:

New Account Forms:
Trade Direct Account Application - Non Retirement
To establish a new Brokerage  account or make changes to an existing account
Account Packet
Important agreements & disclosures to read and retain prior to opening your account
Account Opening Checklist
Information and forms to use when opening a New Account
Supplemental Account Application
Used to provide information for additional account owners that cannot be entered on the primary account application -  Non-Retirement accounts
Margin Agreement
To establish margin on your account
Option Agreement & Approval
To establish option trading on your account
Affidavit of Domicile
To verify residency of the deceased when transferring securities upon death of the owner
Request to Accept Alternative Documentation for Customer Identification Program
To request the use alternative documentation to verify ID for individuals who do not have a valid government ID
Transfer on Death Agreement - Individual Account
Individual Account-To establish or change a Transfer on Death account for an individual
Transfer on Death Agreement - Joint Tenant Account
To establish or change a Transfer on Death account for joint tenants
Insured Cash Account Program
To request the ( ICA) Insured Cash Account as an automated cash sweep program for all cash balances.
Fee Schedule
Fees that may be charged to a Trade Direct account
Consent to Release or Verify Client Information
Use this form to give permission to LPL Financial Home Office to disclose personal identifiable information to a third party
Account Update-Name Change 
To request an account holder name change

Retirement New Account Forms
Trade Direct Account Application- Retirement
To establish a New account or make changes to an existing account
Account Packet
Important agreements & disclosures to read and retain prior to opening your account
Checkwriting-IRA Premier Application
To apply for a checking account for an IRA
Loan Balance Update
To update the balance of an existing retirement account loan

Legal Entity Forms
Certificate of Trust
Submit with required documentation when opening a trust account

Agreements & Disclosures
Account Packet
Important agreements & disclosures to read and retain prior to opening your account
Custodial Agreement-PTC-IRA
Important agreements & disclosures to read and retain prior to opening your account
Custodial Agreement-PTC-ROTH IRA
Important agreements & disclosures to read and retain prior to opening your account
Option Agreement and Approval
To establish Option trading on your account
Margin Agreement
Important agreements & disclosures to read and retain prior to selecting Margin.

Transfer Forms
Transfer Instructions to LPL Financial (External)
To transfer from another  firm  to your LPL Financial Trade Direct account - For Retirement and  Non Retirement accounts
Transfer Instructions (Internal)
To transfer from an existing LPL Financial account to your Trade Direct account - Non Retirement  only
Contribution Instructions-Transfer Request
To transfer assets from an  existing LPL Financial  account to your Trade Direct Retirement account
Mutual Fund Gifting-  To gift shares of a mutual fund from your Trade Direct Account

Deposit & Withdrawal Forms-  Use for Non Retirement Accounts
Check Request- Non Retirement
To request a check from your account (one time or periodic)
Wired Funds- Non Retirement
To have funds wired to your bank account
ACH Set Up- Non Retirement
To set up ACH deposit or withdrawal Instructions
ACH Request-Non Retirement
To initiate an ACH deposit or withdrawal  once instructions have been established

Deposit & Withdrawal Forms- Use for Retirement Accounts
Distribution Request
To request a total, periodic, or partial withdrawal from an LPL Financial IRA or Coverdell Education Savings Account
Distribution Request - IRA Beneficiary Claim Form
To claim or disclaim your benefit from a LPL Financial sponsored IRA account with a deceased owner if you are a beneficiary
Distribution Request- Excess Contribution
To withdraw excess contributions from a Retirement Account
Distribution Request- IRA  Required Minimum Distribution (RMD) Service
To establish, revise, or terminate the IRA Required Minimum Distribution (RMD) Service for your LPL Financial IRA account 
Distribution on Demand
Use this form to set up standing instructions for 'on demand' age based withdrawals from a retirement account
Contribution on Demand
To set up future instructions on an account
Contribution Instructions-Transfer Request
To transfer assets from an  existing LPL account for contribution or rollover to another LPL Retirement account
Contribution Instructions - Checks/ Security Deposit
To deposit assets (checks or securities) designated as a  contribution or rollover to your LPL account from another firm
Contribution Instructions- Periodic
To deposit assets periodically as contributions to your LPL account
Contribution Instructions- Roth Conversion
To convert assets from a Traditional, SEP, or SIMPLE IRA into a Roth IRA
Contribution Instructions- Recharacterization
To redesignate contributions to an IRA or ROTH IRA

Trading Authorization Forms
Trading Authorization- Account Update
To request or update Full or Limited Trading Authorization
DTC Request
To request delivery of securities from your Trade Direct (non retirement)  account to your account with another firm
Transfer & Ship
To transfer securities from your account through DTC

Stock Certificate Forms
Disposition Request for a Worthless Security Position
To remove a worthless security position from your Trade Direct account
Irrevocable Stock or Bond Power
To endorse unsigned certificates to be deposited in your Trade Direct account. Requires Original Signatures (do not fax)
Stop Release Letter
To report lost, missing or stolen certificates. Requires Original Signatures (do not fax)
Affidavit of Effectiveness
To update a power of attorney. Requires Original Signatures (do not fax)
Third Party Release
To deposit certificates when the registered shareholder does not match the account registration
Accommodation Transfer Authorization
To gift or deliver securities from a Trade Direct account to a third party

Checking/Debit Card Forms
Checkwriting Premier Application
Set up a checking account
Checkwriting Premier Plus Application
Set up a checking and debit card account
Checkwriting - IRA Premier Application - IRA Retirement Accounts
Set up a checking account for an IRA

Tax & IRS Forms
Cost Basis Update Form
To provide cost basis information for securities that were transferred into a Trade Direct account.
Tax Correction - Non Retirement
To correct tax information
Tax correction -1099R
To correct tax information for your Retirement account
Tax correction -5498
To correct tax information for your Retirement account
Tax Correction-1099-Q Coverdell ESA
To request a correction to a client's IRS Form 1099-Q
Tax Correction-5498 ESA Coverdell
To request a correction to a client's IRS Form 5498-ESA
Average Cost Elections
Use this form to elect, change or remove average cost for mutual funds and dividend reinvestment plans.
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FREQUENTLY USED FORMS

Trade Direct Account Application - Non Retirement
To establish a new Brokerage account or make changes to an existing account
Trade Direct Account Application- Retirement
To establish a new Retirement account or make changes to an existing account
Margin Agreement
Important agreements & disclosures to read and retain prior to selecting Margin
Account Opening Checklist
Information and Forms to use when opening a New Account
Account Application Instructions
Line by Line Instructions to complete the Account Application
Transfer Instructions to LPL Financial (External)
To transfer from another  firm  to LPL Financial -For Retirement and  Non Retirement accounts
Transfer Instructions (Internal)
To transfer from an existing LPL Financial account to your Trade Direct account - For Non Retirement  only
Contribution Instructions-Transfer Request
To transfer assets from an existing LPL Financial account for contribution or rollover to your Trade Direct Retirement account
ACH Set Up- Non Retirement
To set up ACH deposit or withdrawal Instructions
ACH Request-Non Retirement
To initiate an ACH deposit or withdrawal  once instructions have been established
Distribution Request
To request a total, periodic, or partial withdrawal from an LPL Financial IRA or Coverdell Education Savings Account
Contribution Instructions- Checks/ Security Deposit
To deposit assets (checks or securities) designated as a  contribution or rollover to your Trade Direct account from another firm