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 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 tenant

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 and 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 

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 information for your Retirement account

Tax Correction - 1099R - Move Money
 To correct tax 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