Mutual Funds and Exchange Traded Products

LPL Financial provides the flexibility to manage mutual fund portfolios on a non-discretionary commission-basis or in a number of different fee-based accounts.

Open-End Funds

Our key partner firms include:

Alger Funds
Alliance Bernstein
Allianz Global Investors (PIMCO)
American Century
American Funds
Artisan
BlackRock Investments
Calamos
Calvert
Cohen & Steers
Columbia Management
Compass
Delaware
Dreyfus
Dunham
DWS Investments
Eaton Vance
Empiric Funds
Federated
Fidelity Advisors
First American Funds
Forward/Kensington
Franklin Templeton
Goldman Sachs
Guardian/RS Investments
Hartford Mutual Funds
Highmark Funds
ICON Advisors
ING Funds
Invesco

Ivy Funds
Janus
John Hancock
JPMorgan
Legg Mason Partners
Lord Abbett
Mainstay Funds
Managers Investment Group
MFS Investment Management
NATIXIS Global Associates
Neuberger Berman
Nuveen
Old Mutual
OppenheimerFunds
Pacific Life Funds
Pioneer Investments
Principal Funds
Prudential/Jennison Dryden
Putnam Investments
Russell Investments
Rydex Investments
Sentinel Investments
SunAmerica Mutual Funds
Thornburg
Touchstone
Transamerica
Van Eck
Virtus Investment Partners (Formerly Phoenix)
Wells Fargo Advantage Funds
Wilmington Trust

No-Load Mutual Funds

LPL Financial makes it easy to accommodate the requests of clients to buy, hold and sell no-load funds. Below is a partial list of fund family names that can be held in non-fee based accounts:

Dodge & Cox
Marsico
MAS
Strong
T. Rowe Price
Warburg Pincus
Weitz
Vanguard
Van Wagoner

Mutual funds and Exchange Traded Products are offered with a prospectus. Investors should consider the investment objectives, risks and charges and expenses of the investment company carefully before investing. The prospectus contains this and other information about the investment company. Investors can obtain a prospectus from their financial representative. They should read the prospectus carefully before investing.

Exchange-Traded Products (ETPs)

Exchange-Traded Products (ETPs): Exchange-Traded Funds (ETFs) and Exchange-Traded Notes (ETNs)

At LPL Financial we help you maximize the benefits Exchange Traded Products (ETPs) can provide your clients while helping you avoid pitfalls through providing education, support and advanced technology and trading resources.

LPL Financial works with over 35 ETF and ETN providers including:

iShares
State Street Global
Vanguard
Barclays iPath

Closed End Funds and Unit Investment Trusts

LPL Financial offers a complete lineup of Closed End Funds and Unit Investment Trusts (UITs) from a range of providers, including:

Guggenheim
Eaton Vance
BlackRock
John Hancock
Nuveen
First Trust
Cohen & Steers

An investment in an Exchange Traded Fund (ETF), structured as a mutual fund or unit investment trust, involves the risk of losing money and should be considered as part of an overall program, not a complete investment program. An investment in ETFs involves additional risks: not diversified, the risks of price volatility, competitive industry pressure, international political and economic developments, possible trading halts, Index tracking error. Although exchange traded funds are designed to provide investment results that generally correspond to the price and yield performance of their respective underlying indexes, the trusts may not be able to exactly replicate the performance of the indexes because of trust expenses and other factors.