Forms and Agreements

Open a New Trade Direct Account

Contact Us

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

Trade Direct Account Application - Retirement
To establish a new Brokerage  account or make changes to an existing 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

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

Affidavit of Effectiveness
To certify a power of attorney older than five years

 

Distribution Requests

Transfer Instructions (Internal)
To transfer from an existing LPL Financal account to your Trade Direct account - For Non-Retirement only

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

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

 

Distribution Request - Retirement Accounts

To request a total, periodic, or partial withdrawal from an LPL Financial IRA or Coverdell Education Savings Account based on the method below:

ACH Set Up/Request or Check to AOR - Retirement
To distribute funds from your LPL account via check to address of record, or ACH to your bank account

Wired Funds - Retirement
To have funds wired to your bank account

Journal cash or securities from an LPL Retirement Account into an eligible LPL account
Used to send funds from an LPL Retirement account to a Retail account

Check Request - Retirement
To request a check from your account (one time or periodic) to a third party

 

Distribution Request - Non-retirement Accounts

To request a total, periodic, or partial withdrawal from an LPL Financial non-retirement account based on the method below:

ACH Set Up/Request - Non Retirement
To set up a ACH deposit or withdrawl Instructions or initiate an ACH deposit or withdrawl once instructions have been established for a non-retirement account

Wired Funds - Non Retirement
To have funds wired to your bank account

Check Request - Non Retirement
To request a check from your account (one time or periodic) to a third party

 

Contribution Forms

Journal cash or securities from a non-retirement account to a retirement account
To transer assets from an existing LPL Financial account to your Trade Direct Retirement account, or to send funds from your Trade Direct Retirement Account to an Outside Investment account. This form can also be used to move funds from a Trade Direct account to another LPL Retirement account

Request an ACH to your checking/savings
Used to set up on-demand or periodic contributions into a Retirement account

Contribution Instructions - Checks/ Security Deposit
To deposit assets (checks or securities) designated as a  contribution or rollover to your Trade Direct account

 

Trading Authorization Forms

Trading Authorization - Account Update
To request or update Full or Limited Trading Authorization

Transfer & Ship
To transfer securities from your account through DTC

 

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

Mutual Fund Gifting - To gift shares of a mutual fund from your Trade Direct Account

 

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


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

Margin Agreement
Important agreements & disclosures to read and retain prior to selecting Margin.

Option Agreement and Approval - External Site
To establish Option trading on your account

 

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 remove a "Stop Transfer" on a certificate that has been reported lost, missing or stolen to the Transfer Agent.

Third Party Release
To deposit certificates when the registered shareholder/titling does not match the account registration

Accommodation Transfer Authorization
To gift or deliver securities from a Trade Direct account to a third party owner on the books of the Transfer Agent

 

Tax & IRS Forms

Tax correction Move Money
To correct tax information for your Retirement account

Tax correction - 1099R - Move Money
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.

 

Legal Entity Forms

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

 

Miscellaneous

Loan Balance Update
To update the balance of an existing retirement account loan

Account Application Instructions
Line by Line Instructions to complete the Account Application