Broker Check

Forms

Asset Advisor Agreement & Consideration 570319Dec23 Rev 40

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 Dec23 Rev 13

Account Information All FCC Advisory Accounts 564012 Rev 22

Account Considerations 595585 Dec 23 Rev 03

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 2024

Annuities Networked Change Of Custodian Authorization 585614 Rev 10

Annuity Suitability Form 04.2024

A Share Mutual Fund Disclosure

Asset Advisor Agreement & Consideration 570319 Dec23 Rev 40

Asset Advisor Addendum 570322 Rev 08

Bitcoin ETF Client Attestation 03.2024

Broker Dealer Change Authorization

Brokerage Account Agreement & Disclosure Document 565924 Mar24 Rev 61

Canadian Tax Withholding Corporations and Trusts

Canadian Tax Withholding Hybrid Entities

Canadian Tax Withholding Partnerships

Cash Sweep Program Disclosure Statement 568205 Mar24 Rev 3

Cert of Beneficial Owners 593269 Rev 11 Feb23

Change of Custodian BD request-585614 Rev 10

Client Attestation-07202017

Compliance Manual 2024

Continuing Education (CE) Manual 2024

Convert Account Title to Trust 595060 Dec23 Rev 02

Corporate Cash Account Agreement 544466 Rev 15

Corporate Resolution

Custom Choice Agreement & Considerations 569748 Dec23 Rev 30

Direct Deposit

Disbursement Request Form

Disclosure Brochure UMA Wrap Program 571263 Mar24 Rev 71

Discretionary Third Party Trading Authorization

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 Aug23 Rev 10

Exchange to Fee Based Account

Form CRS March 24

FundSource Agreement & Considerations 569745 Dec23 Rev 48

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 Jan24 Rev 15

IRA Beneficiary Surviving Child Certification 590808 Rev 03

IRA Change of Beneficiary 585124 Rev 12

IRA Checkwriting Agreement 566826 Dec23 Rev 09

IRA Contribution & Rollover Form 585702 Jul23 Rev 20

IRA Distribution Form 585254 Nov23 Rev 29

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 From 585133 Aug23 Rev 08

IRA SEPP 72(t) Distribution 592240 Nov23 Rev 11

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 16 Feb23

Leverage Inverse ETP Managed 04.2023

Leverage Inverse ETP Non Managed 04.2023

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 July 2023

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 2023

Partnership Authorization 578628

Periodic Investment Program PIPS 569389

PIM Private Investment Management Agreement & Considerations 542959 Dec23 Rev 42

PIPS Non IRA

Privacy Policy 2024

Private Advisor Network Agreement & Considerations 570730 Dec23 Rev 36

Private Securities Transactions Request

Qualified Charitable Distribution (QCD) IRA 595929 Jan23 Rev 1

QCD letter to charity

Regulation Best Interest Disclosure March 2024

RAMQ Asset Template

RAMQ Retirement Asset Movement Questionnaire- Outside Accts- Oct 2021

RIA Code of Ethics 2024

RIA Compliance Manual 2024

RIA Contract 2024 with 0 transaction fee

RIA Contract 2024 with $15 transaction fee

ADV Part 2A Appendix 1 Wrap Fee Brochure March 2024

RIA  ADV Part 2A March 2024

Roth IRA Conversion 585756 Dec23 Rev 08

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 Nov23 Rev 03

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 Feb24 544501 Rev 10

Trusted Contact Authorization 593442 Rev 07

Trustee Certification of Investment Powers TCIP 568857 Rev 23

UMA Program Agreement & Considerations 566346 Dec23 Rev 48

VA Liquidation Attestation Feb 2017

W-8 Form

W9 Form