Client FAQ's

All Form 1099s should be mailed by January 31, 2023.

For more detailed information, important dates and deadlines, please consult our comprehensive 2022-23 Tax Season Guide.

In the rare instance of a more complicated tax situation and you do not receive your 1099 consolidated statement by mid-February, your statement will be mailed between February 17 and March 17, 2023. In the interim, a Preliminary 1099-Consolidated Tax Statement will be available to you through Account View. This preliminary 1099 should not be considered final and should not be used for the purpose of filing a tax return with the IRS or with any state or other regulatory agency.

Yes. Once tax documents have been mailed, they can be accessed and downloaded through your Account View login. Click "Documents" in the left menu, and then "Tax Forms" in the upper menu.

If you are using TurboTax or H&R Block, you can automatically import the information shown on your original or corrected 1099 tax information statement. To upload your tax data into the software, you'll need your full 8-digit LPL account and 1- digit Document ID listed on your tax statement. Forms will be available for download from Account View once your tax statement is available. We recommend you wait to download your tax statements until you have received all tax statements in the mail.

For detailed information please consult our 2022-23 Turbo Tax and H&R Block Guide.

Form 5498 IRA includes all contributions for the previous tax year, as well as those made through April 15th of the current year. This tax form is for informational purposes only, and is not to be sent to the IRS along with your tax return. Form 5498 IRA (IRA contributions) will be mailed February 24 & May 31, 2023. Please consult your tax professional.

Account View 2.0 is our secure, 24-hour online access to your investment account information. To set up access, please visit our website and select, "Account Login" from the top right menu item. Proceed by selecting "SIGN UP" in the lower-left corner of the new window that opens and follow the outlined steps. Detailed instructions can be found here.

*Please take note* Any year-to-date returns displayed within the new login are only from the July date when we transitioned from our broker-dealer Waddell & Reed to LPL Financial.

It is possible that the email address you are attempting to use to setup your login does not match the address we have for you on file. Please call Austin Pinard at 781.404.7009 x107 to assist in correcting the discrepancy.

Once Account View access is established, your username is the email address you used when setting up access for the first time. This is also the email address that we have on file associated with your client profile.

To update your password, please select the "Account Login" menu item at the top right portion of our home page. Proceed to the next page.

Input your email address as your user name and select "Next".

On the following screen, select "Forgot Password" and proceed through the resetting process.

You can find the Account View Mobile App by searching “LPL Account View“ on the App Store for iOS and Google Play for Android devices. Then you can login using your email address and password from when you created your Account View access. You’ll get a text message with a code to register the app the first time you log in.

Before we can consolidate your household's accounts within a single view, verbal confirmation is required from the account holder that is being added.

Please call Arianna Lemonias at 781.404.7009 x104 if you would like your accounts to be viewed in another Account View user's profile.

Yes! Simply log in to your account(s) via our "Account Login" tab on our home page.

Once logged into Account View, you have control of your beneficiary information by selecting your name in the top right corner. A dropdown will appear where you can select "Preferences".

In the new window, select the tab "Beneficiaries" and then "Update" to the right of each account name.

Note: This feature is not available for 403B accounts and in the community property states of Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Texas, Washington, and Wisconsin.

Yes, you have the ability to provide an authorized user view-only access to your Account View profile. Once logged in, click on your name in the upper right-hand corner, and then “Preferences”. Click the third tab at the top “RELATIONSHIPS”, and then “MANAGE ADDITIONAL USERS” in the AUTHORIZED USER ACCESS section.

Yes. If you have previously established bank information (ACH instructions) for a particular account, then you are already setup to enter transfers in Account View. Please click the “Transfer Money” tab at the bottom left of the Account View home screen. However, if you would like to add, edit, or remove a connection to an external bank account, you must contact your Advisor for assistance.

Once a transfer has been submitted, it cannot be cancelled or edited online. Your Advisor may be able to cancel if it hasn’t already been processed.

There is a separate portal for clients to login to Goldman 529 plan accounts. Please click this access link and then click "Create a username and password". We recommend bookmarking this link for future access.

The ACH “Automated Clearing House” is an electronic funds-transfer system that facilitates payments in the United States. Though not mandatory, in most instances it is easier to deposit and withdraw money to and from your account(s), at your request, through bank instructions we have on file (ACH instructions). Your signature is required to establish these instructions, so please contact your advisor for more information or to make a request.

Note: It is possible to establish ACH instructions for more than one bank associated with your investment account.

If bank account information is already on file for your account (ACH instructions), verbal confirmation is all that is necessary to establish periodic contributions/distributions. Your signature is required, however, to establish ACH instructions. It is also easier to make a one-time deposit or transfer if we have ACH instructions on file for your account. Please contact your advisor for more information or to make a request.

There are four ways to make a one-time deposit to your account:

Verbal Confirmation

• If ACH bank instructions have been established on your account, verbal confirmation is all that is necessary for this transaction. Please contact your advisor to initiate the transfer.

• If you do not have ACH instructions established on your account(s) and wish to do so, please contact your advisor for more information or to make a request.

Check

• Check deposits for accounts held at LPL should be made payable to "LPL Financial" and mailed to our Acton office: Concord River Financial, 40 Nagog Park, Acton, MA 01720.

• Direct rollover checks from an employer-sponsored plan should be made payable to "LPL Financial", but mailing instructions vary depending upon the circumstances. Please contact your advisor for specific instructions.

• *Please take note* In most instances it is much easier to deposit and withdraw money to and from your account(s), at your request, through bank information we have on file (ACH instructions). Please contact your advisor for more information or to make a request.

Bank Transfer

• You can initiate the transfer directly from your bank account using these ACH instructions:

• Bank of New York
• ABA #021000018
• CREDIT TO ACCOUNT: 146000000 + LPL Account #    (for example 14600000012345678)

Mobile Check Deposit with the Account View 2.0 Mobile App (only for deposits to LPL non-retirement accounts)

• Please see "What is mobile check deposit and how does it work?" as the next FAQ in this section for instructions, or see Mobile Check Deposits: Your Top Questions Answered for more detailed information.

It’s as easy as it sounds – it’s a way to deposit checks into your LPL non-retirement account by using your smartphone’s camera. This new convenient mobile check deposit feature is secure and the funds are available quickly.

• Open the Account View mobile app and log in, and navigate under “more” for mobile check deposits.

• Make check payable to "LPL Financial", endorse the back of the check, and you’ll be prompted to take photos of the front and the back of the check.

• You’ll be asked to verify the amount before the deposit is completed.

If you do not have the Account View Mobile App, you can find it by searching “LPL Account View“ on the App Store for iOS and Google Play for Android devices. Then you can login using your email address and password from when you created your Account View access. You’ll get a text message with a code to register the app the first time you log in.

Please see Mobile Check Deposits: Your Top Questions Answered for more detailed information.

Your verbal confirmation is needed to initiate a withdrawal from your account. Please contact your advisor for more information or to make a request.

Once Account View access is established (see above section), paperless delivery options, including those for statements, additional documents, and tax forms, can be set from within your online Account View access.

To access these options, a text link titled, "You are 0% paperless", can be found at the top middle of any Account View page.

Detailed instructions: How to go Paperless

*Important to note: Paperless options must be set for each individual, even if you took the necessary steps to consolidate your household views. A client must create their own Account View login to set paperless options for their accounts.

Verbal confirmation is required from all account owners before we can make this change. Please call Austin Pinard at 781.404.7009 x107 if you would like your statements combined for your household.

LPL is in the process of transitioning eSignature vendors from DocuSign to Adobe Sign, so as a result an email with documents for eSignature will be received from either DocuSign (dse@docusign.net) or Adobe Sign (AdobeSignSMTP@lplfinancial.com). After opening this email, you will be prompted to verify your identity using either the last 4 digits of your SSN or a quick and easy phone authentication. You will then be prompted through the signing process.

Further detailed Instructions can be found in the DocuSign Client Experience Guide and Adobe Sign Client Experience Guide.

All clients with an established Account View profile now have single sign-on access to WealthVision directly through the Account View interface. Once logged into Account View, click “WealthVision” in the left menu.

Your wealth management system employs advanced security features and protocols to keep your data safe, private, and secure at every hour of every day, year round.

The comprehensive security measures include password protection, Secure Socket Layer encryption, firewalls, intrusion detection, audits, inspections, and more.

More detailed information: WealthVision Security Settings

If you have an established Account View profile and are using the Account View app on your mobile device, you can access WealthVision directly from your Account View interface. Once logged into Account View, click “More” from the bottom menu, and then “WealthVision”.

If you are not using the Account View mobile app and would like to install it on your mobile device, the app can be found by searching “LPL Account View“ on the App Store for iOS, and Google Play for Android devices. Once downloaded, you can then login using your email address and password from when you created your Account View access. You’ll get a text message with a code to register the app the first time you log in.