Forms & Resources
Prospera Resources
Deeper Dives Webinar Recordings
Forms
529 Plan Acct Application 592189 Jul23 Rev 06
529 Plan Change Request 592188 May25 Rev 06
ACAT Additional Assets Transfer 594644 Jun18 Rev 01
ACAT Transfer Form 587367 Nov25 Rev 15
Account Information All FCC Advisory Accounts 564012 Rev 22
Account Considerations 595585 Dec 23 Rev 03
Affidavit of Domicile 587185 Oct18 Rev06
AML Customer Identification Verification Form
Annuities Networked Change Of Custodian Authorization 585614 Rev 10
A Share Mutual Fund Disclosure
Asset Advisor Agreement 570319 Feb25 Rev 42
Asset Advisor Addendum 570322 Jul24 Rev 09
Basic Brokerage Account Agreement Individual
Basic Brokerage Account Agreement Non-Individual
Brokerage Cash Services Upgrade
Broker Dealer Change Authorization
Brokerage Account Agreement & Disclosure Document 565924 Sep25 Rev67
Canadian Tax Withholding Corporations and Trusts
Canadian Tax Withholding Hybrid Entities
Canadian Tax Withholding Partnerships
Cash Sweep Program Disclosure Statement 568205 Sep25 Rev 41
Cert of Beneficial Owners 596862 Dec24 Rev 00
Change of Custodian BD request-585614 Rev 10
Convert Account Title to Trust 595060 Dec23 Rev 02
Corporate Cash Account Agreement 544466 Aug25 Rev 16
Corporate Resolution 587183 Nov16 Rev 04
Custom Choice Agreement 569748 Mar25 Rev 32
Disclosure Brochure UMA Wrap Program 571263 Sep25 Rev 76
DOL Fiduciary Status Disclosure
DRS LOA Form 590916 Rev 05 May23
ESA Account Form and Beneficiary Change 558348 Sep22 Rev 18
ESA Account Request 587749 Apr25 Rev 11
ESA Appointment of Successor Jan25 596833 Rev00
FundSource Agreement 569745 Dec25 Rev 49
Institutional DVP New Account Agreement 572511 Dec24 Rev 13
IRA to IRA Admin Income Distribution Form Aug 2022
IRA Beneficiary Asset Worksheet 589387 Rev 04
IRA Bene Claim Form 589432 Jan25 Rev 16
IRA Beneficiary Surviving Child Certification 590808 Dec24 Rev 04
IRA Change of Beneficiary 585124 Jun24 Rev 13
IRA Checkwriting Agreement 566826 Jan25 Rev 10
IRA Contribution & Rollover Form 585702 Jun25 Rev 22
IRA Distribution Form 585254 JAN26 Rev 31
IRA Enrollment Form 544472 Jul25 Rev 35
IRA Investment Template - RAMQ Sept2022
IRA for Minor Child Indemnification Hold Harmless 565814 Apr25 Rev 9
IRA Recharacterization Form 589978 Sep25 Rev 11
IRA Removal of Excess Contribution Aug25 596405 Rev01
IRA SEP Simple Contribution & Rollover From 585133 Apr25 Rev 09
IRA SEPP 72(t) Distribution 592240 Jan25 Rev 12
IRA to IRA Account Transfer Questionnaire 03 2022
IRA Transfer Due to Divorce 593533 May24 Rev 04
IRA Trust Estate Bypass Form 595628 Sep23 Rev 01
IRA Trust Estate Spouse Beneficiary Bypass Form 595629 Sep23 Rev 01
Joint Owner Associated Person Information 565858 Jan24 Rev 17
Leverage Inverse ETP Managed 04.2023
Leverage Inverse ETP Non Managed 04.2023
LLC Authorization 568427 Rev 07
LOA Letter of Authorization 574079 May26 Rev 22
LOA Wire Request 594623 Oct25 Rev 7
Margin Agreement 544498 Rev 14
Margin Agreement Corporate 544499 Rev 18
Outside Business Activity Approval Form
Trusted Contact Authorization 593442 Dec24 Rev 09
Non Corporate Resolution 587579 Rev 3
One and the Same 571756 Oct25 Rev 08
Online 3rd Party release form 592671 Rev 4
Option Account Agreement 544465 May23 Rev 22
Options Disclosure Document March 2022
Outside Investment Indemnification Letter for IRA 561731 Nov16 Rev 12
Outside Business Activity Approval Form
Partnership Authorization 578628
Periodic Investment Program PIPS 569389
PIM Private Investment Management Agreement & Considerations 542959 Apr24 Rev 43
Private Advisor Network Agreement & Considerations 570730 Apr24 Rev 37
Private Securities Transaction Request
Qualified Charitable Distribution (QCD) IRA 595929 Jan23 Rev 1
Regulation Best Interest Disclosure
RAMQ Retirement Asset Movement Questionnaire- Outside Accts- Oct 2021
Roth IRA Conversion 585756 Dec23 Rev 08
Speaking and Teaching Engagement Approval
Spot Bitcoin ETF Client Acknowledgement
Spot Ethereum ETF Client Acknowledgement
Statement Linking Application 558534 Rev 15
Stock or Bond Power 585493 Rev 08
Successor Custodian Appointment 573708 Rev 06
Summit Wrap Advisory Agreement
Third Party Authorization and Indemnity 595375 Nov25 Rev 05
TOD Beneficiary Asset Worksheet Multi-Bene 594423
TOD Transfer on Death Kit 544318 May25 Rev 26
Transfer On Death Distribution Request Aug24 544501 Rev 11
Trusted Contact Authorization 593442 Rev 08
Trustee Certification of Investment Powers TCIP 568857 Jun24 Rev 24
UMA Program Agreement 566346 Dec25 Rev 50
VA Liquidation Attestation Feb 2017