Broker Check

Forms

529 Plan Acct Application 592189 Rev 05

529 Plans Disclosure

529 Plan Change Request 592188 Rev 05

ACAT Additional Assets Transfer 594644

ACAT Transfer Form 587367 Rev 11

Account Information All FCC Advisory Accounts 564012 Rev 22

Account Considerations 595585 Rev 02

ACH Agreement 584478 Rev 12

Advantage Agreement Individual 569941 Rev 18

Advantage Agreement Non-Individual 569942 Rev 18

Advisory Change Form

Affidavit of Domicile 587185

AML Customer Identification Verification Form

AML Manual 2022

Annuities Networked Change Of Custodian Authorization 585614 Rev 10

A Share Mutual Fund Disclosure

Asset Advisor Agreement & Considerations 570319 Rev 38

Asset Advisor Addendum 570322 Rev 08

Broker Dealer Change Authorization

Brokerage Account Agreement & Disclosure Document 565924 Rev 56

Canadian Tax Withholding Corporations and Trusts

Canadian Tax Withholding Hybrid Entities

Canadian Tax Withholding Partnerships

Cash Sweep Program Disclosure Statement 568205 Rev 33

Cert of Beneficial Owners 593269 Rev 10

Change of Custodian BD request-585614 Rev 10

Client Attestation-07202017

Compliance Manual 2022

Continuing Education (CE) Manual 2022

Convert Account Title to Trust 595060 Rev 01

Corporate Cash Account Agreement 544466 Rev 15

Corporate Resolution

Custom Choice Agreement & Considerations 569748 Rev 28

Direct Deposit

Disbursement Request Form

Disclosure Brochure UMA Wrap Program 571263 Rev 67

Discretionary Third Party Trading Authorization

DRS LOA Form 590916

ESA Account Form and Beneficiary Change 558348 Rev 17

ESA Account Request 587749 Rev 08

ETP Client Affirmation (Non-Traditional) 10 2021

Exchange to Fee Based Account

Form CRS February 2022

FundSource Agreement & Considerations 569745 Rev 46

FundSource FAST form

Hold Recommendation Form

Institutional DVP New Account Agreement 572511 Rev 12

IRA to IRA Admin Income Distribution Form Aug 2022

IRA Beneficiary Asset Worksheet 589387 Rev 04

IRA Bene Claim Form 589432 Rev 12

IRA Beneficiary Surviving Child Certification 590808 Rev 03

IRA Change of Beneficiary 585124 Rev 12

IRA Checkwriting Agreement 566826 Rev 08

IRA Contribution & Rollover Form 585702 Rev 18

IRA Distribution Form 585254 Rev 26

IRA Enrollment Form 54472 Rev 33

IRA Investment Template - RAMQ Sept2022

IRA for Minor Child Indemnification Hold Harmless 565814 Rev 8

IRA Recharacterization or Removal of Excess Contribution Form 589978 Rev 09

IRA SEP Simple Contribution & Rollover Form 585133 Rev 06

IRA SEPP 72(t) Distribution 592240 Rev 07

IRA to IRA Account Transfer Questionnaire 03 2022

IRA Transfer Due to Divorce 593533 Rev 03

IRA Trust Estate Bypass Form 595628 Rev 00

IRA Trust Estate Spouse Beneficiary Bypass Form 595629 Rev 00

Joint Owner Associated Person Information 565858 Rev 15

LLC Authorization 568427 Rev 07

LOA Letter of Authorization 574079 Rev 18

LOA Wire Request 594623 Rev 4

Margin Agreement 544498 Rev 14

Margin Agreement Corporate 544499 Rev 19

MF Letter of Understanding-06.2020

Muni Bond Checklist

Mutual Fund Class A Worksheet

Mutual Fund Class B and C Redemption Worksheet

Mutual Fund Disclosure Form 08.2022

New Account Form CORPORATE December 2020

New Account Form December 2020

Non Corporate Resolution 587579 Rev 3

One and the Same 571756 Rev 06

Online 3rd Party release form 592671 Rev 4

Option Account Agreement 544465 Rev 20

Options Disclosure Document March 2022

Outside Investment Indemnification Letter for IRA

OBA - Outside Business Activity Approval Form 2022

Partnership Authorization 578628

Periodic Investment Program PIPS 569389

PIM Private Investment Management Agreement & Considerations 542959 Rev 40

PIPS Non IRA

Privacy Policy 2022

Private Advisor Network Agreement & Considerations 570730 Rev 34

Private Securities Transactions Request

Qualified Charitable Distribution (QCD) IRA 595929 Rev 1

QCD letter to charity

Regulation Best Interest Disclosure Jun 2020

RAMQ Retirement Asset Movement Questionnaire- Outside Accts- Oct 2021

RIA Code of Ethics 2022

RIA Compliance Manual 2022

RIA Contract 2022 with 0 transaction fee

RIA Contract 2022 with 20 transaction fee

ADV Part 2A Appendix 1 Wrap Fee Brochure March 2022

RIA  ADV Part 2A March 2022

Roth IRA Conversion 585756 Rev 07

Speaking and Teaching Engagement Approval

Statement Linking Application 558534 Rev 15

Stock or Bond Power 585493 Rev 08

Successor Custodian Appointment 573708 Rev 06

Switch Authorization 3

Third Party Authorization and Indemnity 595375 Rev 01

TOD Beneficiary Asset Worksheet Multi-Bene 594423

TOD Transfer on Death Kit 544318 Rev 24

Transfer Account Commission to Fee Fee to Commission and Fee to Fee (AKA Advisory Change Form)

Transfer On Death Distribution Request 544501

Trusted Contact Authorization 593442 Rev 07

Trustee Certification of Investment Powers TCIP 568857 Rev 23

UMA Program Agreement & Considerations 566346 Rev 46

VA Letter of Understanding 04.2021

VA Liquidation Attestation Feb 2017

W-8 Form 569235 Rev 13

W9 Form