Show:
New Accounts
Money Movements
Account Transfers
Hodgepodge
100
These new account forms require all advisors to sign when there is a split rep code.
What are the F1AN and F1AR?
100
This form is used to send money to a client's bank account in the fastest manner.
What is the F53- Wired Funds Authorization?
100
Use this form to deliver mutual funds to a third party.
What is the F172- Mutual Fund Gifting?
100
The client's POA document is older than 5 years, we need this additional form.
What is F109- Affidavit of Effectiveness?
200
This form is required to add POA, a third trustee, and/or a third account owner to a client’s account and does not require a signature.
What is the F1C- Supplemental Account Application?
200
This form can add margin, checkwriting, and a debit card.
What is the F63- Premier Plus Checkwriting Application?
200
Use this form to send/receive ESOP's.
What is the F114- Deposit or Withdrawal Custodian Request?
200
In addition to the F6, the rep would need this form to add Level 3 Options approval.
What is the F247- Margin Agreement?
300
If an advisor change has been initiated by the client on a brokerage or direct business account, then the accepting advisor and the client’s signature are required on this.
What is the F443-Change Advisor Form?
300
Be sure to choose either debit or credit on this form when setting up a periodic distribution, or it may be rejected.
What is the F425- ACH Authorization?
300
Use this form to deliver equities in a non-retirement account to an account holder another firm.
What is the F85-DTC Request?
300
This form must be completed and approved before the initial purchase of a structured product.
What is the F441- Structured Products Agreement?
400
Clients without a valid ID may submit a bank statement, Utility Bill/Nursing Home Statement, Medicare/SSA Correspondence, or statement from another Broker/Dealer dated within 90 days along with this form.
What is the F434- Request to Accept Alternative ID?
400
This form may require additonal information or documentation if the requested amount is more than $13,000.
What is the F88- Third Party Check Request?
400
Use this form to transfer Direct Registration Shares into LPL.
What is the F2- Account Transfer Form?
400
A client granted a third party the ability to remove cash from their account so we have this form on file.
What is the F10-Trading Authorization?
500
Use these forms to add a beneficiary to a retail account.
What are the F75-Individual TOD and F76-Joint TOD?
500
Upon the death of an non-retirement account holder, these people may sign the journal request form, depending on the registration.
Who are the TOD beneficiaries or the executor?
500
A transfer form (F2) that was missing the SSN can be re-submitted without client initials if this is the case.
What is when the SSN the rep enters matches BETA?
500
This form serves as written acknowledgement from a client that a transaction was executed on an unsolicited basis.
What is the F59- Letter of Non-Solicitation?