Resources

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.

Required Forms and Step by Step Instructions to Open a Retirement or Non - Retirement Brokerage Account

Step 1: Select Your Account Type
Please select Non-Retirement or Retirement Account Type as indicated below.  Retirement Account registration type options include Traditional, Roth and SEP IRAs.  Please print and complete required forms and print the corresponding Account Packet for your records.

Account Type Forms Required to be completed and submitted to LPL Financial Documents and Agreements for you to review and keep for your records
Non-Retirement Trade Direct Account Application - Non Retirement Form Account Packet - LPL Trade Direct
Retirement Trade Direct Account Application - Retirement Form Account Packet - LPL Trade Direct
Traditional, Rollover or Beneficiary IRA; SEP IRA 
   Custodial Agreement PTC - IRA 
Roth or Beneficiary Roth IRA   Custodial Agreement PTC - Roth IRA

Step 2: Complete Additional Forms if Required for Account Registration Selected
In addition to the forms indicated in Step 1, some registration types require additional forms or information.  See below for additional required forms and instructions based on Account Registration.

Registration Type Forms and/or information required to be completed and submitted to LPL Financial Documents and Agreements for you to review and keep for your records
Personal Trust

Certification of Trust Form 
In addition, please include a copy of the following Trust pages:  (1) Trust section that identifies the Name and Date of the trust; (2) Trust Signature Page (signed and dated); (3) Trust section that names all trustees and successor trustees; and (4) All pages of the powers section of the Trust that describes the authority of the trustees to act on behalf of the Trust.

  
Estate Estate Papers (Letters of Testamentary)  
Guardianship or Conservatorship Court/Legal Documentation  

Step 3:  Select Additional Optional Account Features
You may choose to add specific features to your account.  See below for additional features and the additional forms or information required.

Account Features Forms and/or information required to be completed and submitted to LPL Documents and Agreements for you to review and keep for your records
Trading on Margin
 Select and initial the Margin Section of the Trade Direct Account Account Application. (Available on Non-Retirement Accounts only) Margin Disclosure Statement
Options   Characteristics and Risks of Standardized Options
Individual Transfer on Death (TOD) Transfer on Death Account Form - Individual  
Joint Transfer on Death (TOD) Transfer on Death Account Form - Joint Tenant  
     
ACH Instructions (move funds between LPL Financial and your institution - Non Retirement accounts only) ACH-Non Retirement  

Step 4: Fund Your Account
Fund your account by check, transfer or wire as noted below

Funding Instructions by Registration Type Ways to Fund your account Required Forms
Non Retirement Account Check Payable to: LPL Financial For New Accounts without an account number:  write "New Account" on your check and attach with you Account Application.  When you receive your new account number please include it on all checks and correspondence.  See list of Acceptable Deposits.
  Transfer to LPL from another firm Transfer Instructions to LPL - External
  Transfer within LPL from an existing LPL account to Trade Direct Transfer Instructions - Internal
  Wire to LPL Financial - Wire Instructions Do not wire funds without your account number. Once we receive your new Account Application; a 'Welcome Letter' containing you Trade Direct account number will be sent to you.
Retirement Account- IRA/SEP/Coverdale ESA/ Roth Send a Check Payable to LPL Financial as a Contribution to your Trade Direct account. Contribution Instructions - Check/Security Deposit Please note your account number on your check or write 'New Account" on your check and attach to your Applicaton. Acceptable Deposits
  Transfer within LPL - from an existing LPL account to your Trade Direct account Contribution Instructions - Transfer Request 
  Transfer or Rollover to LPL from another firm to your Trade Direct account Transfer Instructions to LPL - External

Step 5: Send Forms & Check (if applicable) to LPL Financial 
Fax or mail all applicable Account Opening forms and check to LPL Financial.

Mailing Method Phone & Address
Fax to: (858) 202-8500
Regular Mail To: LPL Financial
Attn: Dept. M.
PO Box 6575
Fort Mill, SC 29715-6575
Overnight Delivery:   LPL Financial
Attn: Dept. M.
1055 LPL Way
Fort Mill, SC 29715


Step 6: LPL Financial Sends Welcome Letter
After we receive and review your New Account paperwork, LPl Financial will contact you via phone to perform an identity verification before we can proceed with the account opening process. Once the process is completed, the account will be opened, and you will receive a Welcome Letter within 10 - 14 business days.

Welcome Letter
The welcome letter will provide you with:
·   Your new account number
·   Instructions on how to create a Trade Direct User ID and login for online trading
·   Once you complete the steps noted in the letter, you can begin trading in your account.

Contact Us:

Call the LPL Financial Trade Direct Client Services Call the LPL Financial Trade Direct Client Services at 855-575-9656 Monday through Friday from 8:30am- 7:30pm EST.
Email the LPL Financial Trade Direct Client Services clientservices@lpl.com