Forms and Agreements
Open a New Trade Direct Account
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, fax or email along with a copy of an unexpired ID (driver’s license, state issue ID, or passport).
| Mail to: | Fax to: |
Email to: |
LPL Financial |
(858) 202-8500 | [email protected] |
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 who cannot enter on the primary account application
Request to Accept Alternative Documentation for Customer Identification Program
To request the use of alternative documentation to verify ID for individuals who do not have a valid government ID
Transfer on Death Account Agreement - Non-Retirement
To establish or change a Transfer on Death account for an individual or joint accounts
Fee Schedule
Fees that may be charged to a Trade Direct account
Consent to Release or Verify Client Information
Use this form to allow LPL Financial Home Office to disclose personally 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 Financial account to your Trade Direct account - For Non-Retirement only
Distribution Request - IRA Beneficiary Claim Form
To claim or disclaim your benefit from an LPL Financial sponsored IRA account with a deceased owner if you are a beneficiary
Distribution Request - Excess Contribution
To withdraw excess contributions from your 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 redesign 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 an ACH deposit or withdrawal Instructions or initiate an ACH deposit or withdrawal 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 transfer 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
Transfer Forms
Transfer Instructions to LPL Financial (External)
To transfer from another company 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
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.
Margin Disclosure Statement
Important basic facts and risks of purchasing securities on Margin to read and retain prior to opening your account
Margin Interest Rate Disclosure
OCC Characteristics & Risks of Standardized Options - External Site
Option Clearing Corp (OCC) booklet to read and retain prior to selecting Options
Stock Certificate Forms
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
Tax & IRS Forms
Tax Correction Move Money
To correct tax deposit information for your Retirement account
Tax Correction - 1099R - Move Money
To correct tax distribution information for your Retirement account
Average Cost Elections
Use this form to elect, change or remove average cost for mutual funds and dividend reinvestment plans.
Miscellaneous
Loan Balance Update
To update the balance of an existing retirement account loan