You can view your realized gains/losses electronically by logging into your Account View profile then clicking "Accounts" in the top menu > select "Positions" from the dropdown, select only non-retirement accounts to view, and then "Realized Gain/Loss" from the top bar menu.

Your statements are accessible electronically through your Account View profile by clicking "Documents" in the top menu and then "Tax Forms".

Most statements will be accessible online by February 14, 2026 through your Account View profile by clicking the "Documents" in the top menu and then "Tax Forms". Most Form 1099s should be mailed by February 20, 2026.

In the rare instance of a more complicated tax situation and you do not receive your 1099 consolidated statement by early February, your statement will be mailed by March 16, 2026.

In the interim, a Preliminary 1099-Consolidated Tax Statement will be available to you by logging into Account View. This preliminary 1099 will not be mailed and should not be considered final for the purposes of filing a tax return with the IRS or with any state or other regulatory agency.

Preliminary 1099s are labeled accordingly and include “Prelim” in the statement name.

This form includes all contributions for the previous tax year, as well as those made through April 15th of the current year. Form 5498 IRA will be mailed by May 29, 2026. This tax form is for informational purposes only and is not to be sent to the IRS along with your tax return. Please consult your tax professional.

If you use TurboTax or H&R Block, you’ll be able to import the information shown on your original or corrected 1099 tax information statement directly into the software. To upload your tax data into the software, you'll need your full 8-digit account and 11-digit Document ID listed on your tax statement. Forms will be available for download 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 technical questions, please reach out to Turbo Tax or H&R Block.

To protect your information, any emails that include your personally identifiable information (PII) are handled through the Proofpoint Email Encryption solution.

The first time you receive an encrypted email message from our office, you will need to go through the Proofpoint one-time registration that requires you to enter your First and Last Name and create your Password. The Validation Code will be in sent in a follow up email.

Enter the Validation Code from the Proofpoint Encryption registration email into the Validation Code Field and click Continue. The Validation Code will only be active for 30 minutes.

Next, you will be taken to the Proofpoint secure email application where you are only able to read and reply to the email. Direct replies back to our office will automatically be encrypted. The same process should be followed when accessing encrypted emails from your mobile device.

For more detailed instructions with screenshots, this Guide to Opening Encrypted Email Messages will step you through what you will experience when receiving an encrypted email from our office.

No, only direct responses to secure emails sent from our office will be automatically encrypted. Please contact your advisor if you wish to send any information securely.

Account View 2.0 is our secure, 24-hour online access to your investment account information. Click here for an introductory video.

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.

Alternatively, if you would like us to send you an activation link, please contact us.

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 contact us 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, it is necessary that you have a PII (Personally Identifiable Information) form on file authorizing the specific member of your household.

Please contact us if you would like your accounts householded with 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.

You will need to contact your advisor and have the following bank information on hand:

• Names on bank account
• Bank name
• Account Type (checking/savings)
• Routing #
• Account #

A form will be generated and sent to you for your signature.

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 Westford office: Concord River Financial, 319 Littleton Road, Suite 303, Westford, MA 01886.

• 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 can be set from within your online Account View access.

To access these options, click the gear icon located at the top right of your Account View home screen to access Settings, then click the “PAPERLESS” tab at the top. From here you can select paperless/mail options for Statements, Additional Documents, and Tax Forms. Click the blue “Save” button on the bottom right to save your changes.

*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 contact us if you would like your statements combined for your household.

An email with documents for eSignature will be received from 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 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 “Planning” and select “Wealthvision” from the dropdown 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.