Broker Check

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.