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Securities

Equity and options trading
The LPL Financial Equity Trade Desk is staffed by experienced, professional trading personnel in our San Diego home office. LPL Financial offers advisors the option to trade online through its broker workstation technology or via telephone.
Utilizing the online trading functionality of the LPL Financial technology software for equity and option trades provides a number of advantages to LPL Financial advisors:

  • Easy and efficient order placement, available 24/7
  • Reduced ticket charges to the advisor for electronic brokerage orders
  • Readily-accessible order status information (verification of whether order was properly entered by LPL Financial as a day or open order, and that the order is awaiting execution)
  • Execution information for all trades, whether they were entered online or via phone to the LPL Financial Equity Trade Desk
  • Delayed and real-time quotes for stocks, options, listed bonds and mutual funds
  • LPL Financial advisors may also create unlimited, customized quote lists

Fixed income investments
LPL Financial Fixed Income Trade Desk is comprised of experienced fixed income specialists who can facilitate LPL  Financial advisors' retail and institutional transactions.  The LPL Financial full-service trading desk executes trades totaling more than $3 billion per year in:

  • Government debt
  • Corporate debt
  • Municipal debt
  • GNMAs
  • CMOs
  • Unit Investment Trusts (UITs)
  • Agency securities
  • Foreign bonds
  • Zero coupon bonds
  • Discount notes
  • Commercial paper
  • Bankers acceptance notes
  • CDs

The Fixed Income Trade Desk provides LPL Financial advisors the ability to view offerings from many different sources, including wirehouse firms, regional banks and other independent firms. This means that advisors are not limited by the inventory a trader carries and can show more offerings than most competitors.

Through its Fixed Income Trading Desk, LPL Financial provides the following services:

  • Thousands of offerings available daily through the LPL Financial BranchNet Resource Center extranet system
  • Bid evaluations
  • Portfolio evaluations
  • Structuring of ladders
  • Sales ideas
  • Market insights
  • Economic commentary
  • Weekly market update
  • Daily faxes on CMOs, Treasuries, Agencies and institutional offerings
  • Daily faxes on corporates and money markets
  • A quarterly municipal securities newsletter
  • A monthly market review