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New Account Forms:
- The Patronesses of the San Marino Area Chapter of National Charity League held their last general meeting of the NCL year recently at the Church of Our Saviour. Eileen Cameron, vice president of membership, announced the incoming members of the Class of 2024. Patroness Sheila Rossi presented an informative and inspiring talk about ADHD in girls, including how.
- 64 New York Ave, NE Washington, DC 20002 (202) 832-6577 (202) 832-1984.
The four Laboratory SP2 initiatives recognized by NNSA during the past year are: Green Hotline and ES&H Newsletter. The lab’s Green Hotline and ES&H Newsletter are valuable Labwide communication tools that provide employees with a direct connection to subject matter experts regarding environmental, wildlife and safety-related questions or concerns. The Green Hotline. Compliant Websites for LPL financial advisors and affiliated representatives. Norwalk, Bldg 9, Suite 118 Mesa, AZ 85215 www.wmadvisorsaz.com. Robert has been in the investment advisory business for over 18 years. He is a CERTIFIED FINANCIAL PLANNER™ professional and a Chartered Life Insurance underwriter.
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
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
Dan Arnold is not a central-casting pick, but the company is betting he is the guy who can find the judicious RIA-brokerage mix
June 28, 2012 — 4:55 AM by Brooke Southall
Brooke’s Note: In preparation for this article, I reached out to Tim Welsh, and he pointed me to a Wall Street Journal article that ran Monday, titled: “Beware the Finance Poach: Firms Recruit Sitting CFOs.” It pointed out that through June 18, there had been 67 CFO changes among 1,000 companies or an annual rate of 15%, up from 12% the previous two years — the extension of a trend that began last year at this time. One reason for this uptempo CFO turnover is that companies are spending less time and money developing their own talent. The other factor is that in this changing market, an expanded skill set is needed for the post. LPL is making no bones about the fact it is looking for a different kind of CFO, and the appointment of Dan Arnold covers many bases.
Snapping the last piece of its upper-corporate jigsaw puzzle into place, LPL Financial LLC has recruited a new chief financial officer from within its own ranks.
The biggest of the independent broker-dealers appointed Dan Arnold to the post after a nine-month search inside and outside of its Boston-, Charlotte,N.C.-, and San Diego-based firm. Arnold takes the position vacated by Robert Moore, who became LPL’s chief operating officer when Esther Stearns was reassigned to head a new venture aimed at the mass market. See: LPL cannibalizes executive talent and launches mass-market entity.
Arnold, 47, a Boston resident who, as a native Georgian, roots for the Atlanta Braves, has a bit of a superstar reputation due to his part in building up UVEST Financial Services Group Inc. and then monetizing it with a sale to LPL Financial — and for its continued success inside LPL. See: LPL sees bright spots amid sideways 4Q earnings report.
Arnold will report to Mark Casady, LPL Financial’s chairman and CEO following a three-month transition of CFO responsibilities with Moore. He will be based in San Diego.
Inside track
Still, LPL’s pick came as a surprise to one headhunter, who asked not to be identified.
“Historically, people recruiting CFOs of public companies go with CFOs with prior experience at public companies given the regulatory requirement post-Sarbanes-Oxley.”
LPL declined to comment on this view of its choice.
The headhunter adds, however, that Arnold is “an incredibly smart person” who is “great at integration.”
Of course his most successful integration may be that UVEST, which provides brokerage services to banks, credit unions and the like and had $144 million of revenue at the time of sale. UVEST had more than 100 employees prior to the sales. See: LPL makes big advance into the RIA business with Fortigent acquisition.
These accomplishments appear to have caught the eye of Casady.
“I am very pleased that Dan Arnold will be stepping up to the role of CFO,” said Casady. “Over the course of his 25-year career, Dan built and managed a business, led the integration of that business into LPL Financial, and has taken on leadership of a new department, Strategy, where he has already made a real impact on the way our firm approaches planning for the future.”
LPL RIA strategies
Lpl Website Of Professional
Many of LPL’s strategies that Arnold is mulling and shaping are laced with RIA ingredients. The company, for instance, has purchased Fortigent but tipped little of its hand about how it’ll fit into a bigger advisory strategy. Fortigent is essentially an outsourcer to high-end RIAs. LPL has also made no bones about building out an RIA hybrid platform in a big way. Ron Carson’s move to an RIA platform is part of that but there are hundreds of advisors with billions in assets making that move.
Yesterday, we wrote about Stratos, a $4.5 billion RIA rep that is building out a hybrid RIA strategy with a roll-up flavor. It is one of at least three such successful demi-RIAs that rake in assets on LPL’s behalf and it seems it could build on that success. And last but not least, when Stearns vacated her COO position at LPL, a domino that eventually led to Arnold taking over as CFO, she went on to start a subsidiary venture within LPL that is an incubator of small start-up RIAs that serve the mass market.
Tim Welsh: When was the last
CFO of any broker-dealer known?
Higher profile
Indeed, Arnold says, LPL has expanded the definition of its CFO role. Along with the compulsories that go with CFO life, he will, in the free-skate portion of the program, draw from his prior role at LPL as managing director, head of strategy. Specifically, Arnold will focus on emerging trends, ideas, and opportunities to expand the company’s business model, assess the long-term consequences of change in the industry, and partner with the finance department to align strategic plans with multiyear financial forecasts, according to his biography on the LPL website.
“That’s one of the cultural characteristics of LPL — that entrepreneurial spirit,” Arnold says.
LPL’s new definition of the CFO’s role could pay dividends, according to Tim Welsh, president of Nexus Strategy of Larkspur, Calif.
“When was the last CFO of any broker-dealer known?” he says. “It’s been a behind-the-scenes role. As LPL looks to do more deals, here’s a chance to kill two birds with one stone.”
Live wire
Although Moore directly oversees the company’s M&A, Arnold may, he says, be put in charge of nurturing small purchased companies into bigger ones or overseeing the startup of ventures internally. See: Amping up recruiting efforts, giant LPL firm grew its revenue by 300% in 2011.
Lpl Website Of India
Although Arnold possesses many of the qualities of an entrepreneur, a person close to the company points out that the new CFO is not exactly a neophyte in financial matters. He holds an MBA in finance from Georgia State University and successfully completed the certified public accountant examination. Earlier in his career, Arnold spent seven years in the telecommunications industry, holding leadership roles with BellSouth and MCI in corporate finance and sales and marketing.
The former MCI employee should be plesased at his ascendancy to this new position, the headhunter says.
“It’s a plum position.”
This article previously stated that Arnold was a big overseer of the Fortigent deal, which is not true and was our error. We removed two lines suggesting that.
LPL | UVEST
Related Moves
How a white senior vice president at an LPL OSJ came to hire a former black minister as recruiter despite the latter's pledge to make it 'uncomfortable' at times
Rob Sandrew hit it off with Keith L. Frasier, willing to speak up on racial and racial justice issues, who also checks all the boxes for attracting talent and assets at a firm that recruited $2 billion last year
Oleg Tishkevich builds instant McKinsey-killer in RIA consulting by offering gigs and equity to six solo stars, but good luck managing egos and economics, says someone who's been there
The restless Invent.us founder names (thus far) Tim Welsh, Suzanne Siracuse, Gavin Spitzner, Mark Hollingsworth and Brian Bleasdell as owners in exchange for being on call to tackle big gigs as a superteam
His days of playing defense done, Jeff Concepcion pinches pennies then poaches a Fidelity and Schwab veteran to execute grab for next $6 billion of AUA at Stratos
Lou Camacho will pursue goal of $600 million a quarter in new assets on behalf of OSJ that wants much more inorganic growth
Mentioned in this article:
LPL Financial
RIA-Friendly Broker-Dealer
Top Executive:Dan Arnold
Nexus Strategy
Consulting Firm
Top Executive:Timothy D. Welsh
Lpl Website Of Business
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