custom clearing services Technology The Custom Clearing Services Advantage member Finra/siPc

Transcription

1 custom clearing services Technology The Custom Clearing Services Advantage member Finra/siPc

2 direct access to leading-edge tools

3 Technology The Custom Clearing Services advantage provides broker/ dealers with direct access to leading-edge tools and support systems, including BranchNet, Resource Center, Portfolio Review Tool, and Portfolio Manager. BranchNet BranchNet is our proprietary advisor workstation. From opening new accounts to managing trades or obtaining the latest news on a specific security, BranchNet is the solution. It provides financial advisors with the resources necessary to efficiently complete business processes, thus, freeing up more time for serving existing clients or developing new business. BranchNet is the solution. It provides financial advisors with the resources necessary to efficiently complete business processes. As our core operations and trading platform, BranchNet provides financial advisors with: 24/7 access from any computer, via the Internet Comprehensive account lookup for accounts and direct business data Straight-through processing of trade orders and account maintenance requests Secure and reliable data maintenance Full transparency, accountability and clear transaction status Online mutual fund, equity, fixed income, option, annuity trading and direct business trading Electronic LPL Financial statements, tax documents and trade confirmations Simplified account maintenance functions with complete audit trails Compliant document management for online storage of client files

4 The BranchNet Resource Center offers 24/7 accessibility to financial advisors and their staff. BranchNet Resource Center Located within BranchNet, the BranchNet Resource Center contains important department-specific information, as well as LPL Financial exclusive research that makes it easier to run a business and guide clients in making sound financial decisions. The BranchNet Resource Center offers 24/7 accessibility to financial advisors and their staff so they can grow their businesses and minimize their workloads simultaneously. BranchNet Resource Center provides financial advisors with direct access to: Valuable market research Up-to-date broker/dealer news Investment product information Extensive LPL Financial Research commentaries Extensive third-party research and market data Tools and Support Valuable marketing tools Client-approved sales and prospecting presentations Comprehensive training materials Technology support forms for brokerage, advisory, and direct business accounts Numerous client presentations and communication resources Forms for brokerage, advisory, and direct business accounts

5 Portfolio Review Tool The Portfolio Review Tool (PRT) is a powerful web-based tool that allows financial advisors to provide an immediate asset allocation overview of existing or prospective client portfolios. The overview relates directly to clients specific positions and investment objectives. PRT can help financial advisors compare the current holdings of a portfolio to an asset allocation model. Overweights and underweights, as well as sector breakdowns, will help financial advisors and their clients make important decisions in rebalancing and facilitating trade recommendations. Lastly, there is the ability to present hypothetical portfolios demonstrating the benefit added as a valued financial advisor. This tool offers a quick and easy method for organizing client account information. PRT is designed for financial advisors to quickly and easily organize their clients account information, where accounts may be qualified or non-qualified and include stocks, bonds, mutual funds, CDs, and variable annuities. Key features and benefits of PRT include: 24/7 monitoring of client portfolios Complete portfolio review of household assets held at and outside of LPL Financial Problems with a portfolio s current structure are easily and clearly illustrated for use with existing or prospective clients Load accounts quickly then view, print or to clients and prospects Store client portfolios for updated future reviews Create custom models Generate a list of trades based on the proposed asset allocation The Portfolio Review Tool offers a quick and easy method for organizing client information.

6 automatically illustrates all portfolio assets

7 Portfolio Manager Portfolio Manager provides an extensive resource to financial advisors to manage client and household portfolios. The financial advisor simply groups the accounts and Portfolio Manager automatically illustrates all portfolio assets. Even non-lpl Financial held assets may be manually loaded. Whether financial advisors are assessing the asset allocation of the portfolio compared to its stated investment objective, or illustrating the performance of a portfolio, Portfolio Manager makes it possible with just a click of a mouse. With these advanced features, financial advisors enjoy access to: Performance reporting on brokerage and advisory accounts z Any date to any date z At the household, group, account, asset class, security type and position levels z Benchmark performance comparisons Aggregate account management and reporting z Householding of accounts z Automatic grouping of accounts by client Manual addition of non-lpl Financial assets and their transaction histories z Automatic market value updates for tracked securities Customizable asset classes Numerous client-approved reports Aggregate position views and reporting Batch reporting capabilities z Customize report parameters and/or client groups to quickly generate meaningful reports for client reviews z Share customized report batches across multiple BranchNet users to streamline office operations z Quickly generate updated reports (as of the previous day market close) for any report group created within the last 13 months Streamlined account management and enhanced presentation capabilities are more important than ever these days. The LPL Financial Portfolio Manager tool will empower financial advisors to quickly answer their clients questions of How am I doing versus What am I worth?

8 LPL Financial A registered Investment Advisor Member FINRA/SIPC