Client Forms

New Client Forms
 

 
Any questions about a form, call 805-965-0101.
 
Simple (Two Page) Fact Finder - A short fact finder for discussion purposes for our first meeting.
 
New Client First Meeting Checklist - A checklist of what to bring and how to prepare for our second meeting.
 
New LPL Account Application and Agreement - This form establishes a new account with LPL.
 
Comprehensive Fact Finder - A longer, more comprehensive form for identifying client information.
 
Socially Responsible Investing Worksheet - A worksheet for identifying which investments are right for clients interested in socially responsible investing.
 
Hourly Consulting Profile - A form for setting up hourly consulting compensation.
 
 
Existing Client Forms
 
ACH Authorization Form - Use this form to have LPL send payments directly into your LPL account from your bank account and/or debit your bank checking or savings account through the Automated Clearing House (ACH) system.
 
Adoption Agreement – 403(b) - This form should be used in conjunction with the appropriate New Account Document to establish a new 403(b)(7) Custodial Account.
 
Adoption Agreement – Roth IRA - Form FR111 should be used in conjunction with the appropriate New Account Document to establish a new Roth Individual Retirement Account (IRA).
 
Adoption Agreement – Simple IRA - Form FR112 should be used in conjunction with the appropriate New Account Document to establish a new Individual Retirement Account (IRA).
 
Adoption Agreement – Traditional & SEP IRA - Form FR110 should be used in conjunction with the appropriate New Account Document to establish a new Individual Retirement Account (IRA).
 
Brokerage Account Change Form - This change form allows you to update the following account information: change of name due to legal name change
 
Ceritification of Trust - This Certification should be used in lieu of submitting an actual copy of the trust document when establishing a trust account with LPL Financial.
 
Contribution Instructions – Check/Security Deposit - Complete this form to provided LPL with deposit instructions for a check or a stock certificate.  This form should be submitted to LPL for all Retirement account deposits via check or security.
 
Designation of Beneficiary – IRA - Use this form to change the beneficiary designation on an existing IRA.
 
Direct Deposit Authorization Form - Use this form to direct their payroll department or designated government agency to systematically deposit money into their LPL account out of their salary or Social Security payments.
 
Distribution Request – Distributions on Demand - Use this form to set up the account to allow a financial advisor to request distributions from the client’s retirement account. This feature is available for traditional IRAs, beneficiary IRAs, Roth IRAs, SEP IRAs, SAR-SEP IRAs, and SIMPLE IRAs.
 
Distribution Request – IRA & ESA - Use this form to request a withdrawal from an LPL Individual Retirement Account or an LPL Coverdell Education Savings Accounts.
 
Distribution Request – IRA Required Minimum Distribution Service - Use this form to establish the IRA REquired Minimum Distribution (RMD) Service for your LPL account.
 
Distribution Request IRA Premier Checking Application - Use this form if your client wants to establish Premier checkwriting for their LPL IRA (brokerage or SAM/SAM II) accounts. The minimum investment is $500. Checks can be written for a minimum of $100. This service is free of charge.
 
Client Checklists
 
Disaster Checklist

Home Inventory Checklist

Changing Jobs Checklist

Getting Divorced Checklist

Starting Out Checklist

Financial Windfall Checklist

Estate Planning Checklist

Getting Married Checklist

Coping with Unemployment Checklist

Loss of Spouse Checklist