Forms
529 Plan Acct Application 592189 Rev 05
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
Advantage Agreement Individual 569941 Rev 18
Advantage Agreement Non-Individual 569942 Rev 18
AML Customer Identification Verification Form
Annuities Networked Change Of Custodian Authorization 585614 Rev 10
A Share Mutual Fund Disclosure
Asset Advisor Agreement & Consideration 570319 Dec22 Rev 39
Asset Advisor Addendum 570322 Rev 08
Broker Dealer Change Authorization
Brokerage Account Agreement & Disclosure Document 565924 Dec22 Rev 57
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
Continuing Education (CE) Manual 2023
Convert Account Title to Trust 595060 Rev 01
Corporate Cash Account Agreement 544466 Rev 15
Custom Choice Agreement & Considerations 569748 Dec22 Rev 29
Disclosure Brochure UMA Wrap Program 571263 Rev 67
Discretionary Third Party Trading Authorization
DOL Fiduciary Status Disclosure
ESA Account Form and Beneficiary Change 558348 Sep22 Rev 18
ESA Account Request 587749 Rev 08
FundSource Agreement & Considerations 569745 Dec22 Rev 47
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 Jan23 Rev 14
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 Dec22 Rev 27
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 Dec22 Rev 9
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
Leverage Inverse ETP Managed 03.2023
Leverage Inverse ETP Non Managed 03.2023
LLC Authorization 568427 Rev 07
LOA Letter of Authorization 574079 Rev 18
Margin Agreement 544498 Rev 14
Margin Agreement Corporate 544499 Rev 19
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 Dec22 Rev 41
Private Advisor Network Agreement & Considerations 570730 Dec22 Rev 35
Private Securities Transactions Request
Qualified Charitable Distribution (QCD) IRA 595929 Jan23 Rev 1
Regulation Best Interest Disclosure Jun 2020
RAMQ Retirement Asset Movement Questionnaire- Outside Accts- Oct 2021
RIA Contract 2023 with 0 transaction fee
RIA Contract 2023 with $15 transaction fee
ADV Part 2A Appendix 1 Wrap Fee Brochure 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
Third Party Authorization and Indemnity 595375 Nov22 Rev 02
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 Dec22 Rev 47
VA Letter of Understanding 2023