FSC Securities Corp Online Forms Library

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FSC Securities Corp
Account Application - Company Retirement Plan
This worksheet is used to collect data related to opening a new account via Client Central for a Pershing or STC client.
Lit No: FSC-AA-CRP
Revised: 07/01/2017
Form ID: 34842
Publish: 07/11/2017
Details
FSC Securities Corp
Account Application - Entity (Client Central)
This worksheet is used to collect data related to opening a new account via Client Central for a Pershing or STC client.
Lit No: FSC-AA-EN
Revised: 05/01/2018
Form ID: 34843
Publish: 05/04/2018
Details
FSC Securities Corp
Account Application - Estate
This worksheet is used to collect data related to opening a new account via Client Central for a Pershing or STC client.
Lit No: FSC-AA-ES
Revised: 07/01/2017
Form ID: 34844
Publish: 07/11/2017
Details
FSC Securities Corp
Account Application - Person (Client Central)
This worksheet is used to collect data related to opening a new account via Client Central for a Pershing or STC client.
Lit No: FSC-AA-NP
Revised: 01/22/2018
Form ID: 34845
Publish: 01/19/2018
Details
FSC Securities Corp
Account Application - Trust
This worksheet is used to collect data related to opening a new account via Client Central for a Pershing or STC client.
Lit No: FSC-AA-TR
Revised: 05/01/2018
Form ID: 34846
Publish: 05/04/2018
Details
FSC Securities Corp
Client Application - Entity (Client Central)
This worksheet is used to collect data related to creating a new client record via Client Central for a Pershing or STC client.
Lit No: FSC-CA-EN
Revised: 05/01/2018
Form ID: 34848
Publish: 05/04/2018
Details
FSC Securities Corp
Client Application - Company Retirement Plan
This worksheet is used to collect data related to creating a new client record via Client Central for a Pershing or STC client.
Lit No: FSC-CA-CRP
Revised: 01/22/2018
Form ID: 34849
Publish: 01/19/2018
Details
FSC Securities Corp
Client Application - Estate
This worksheet is used to collect data related to creating a new client record via Client Central for a Pershing or STC client.
Lit No: FSC-CA-ES
Revised: 01/22/2018
Form ID: 34850
Publish: 01/19/2018
Details
FSC Securities Corp
Client Application - Person (Client Central)
This worksheet is used to collect data related to creating a new client record via Client Central for a Pershing or STC client.
Lit No: FSC-CA-NP
Revised: 01/22/2018
Form ID: 34851
Publish: 01/19/2018
Details
FSC Securities Corp
Client Application - Trust
This worksheet is used to collect data related to creating a new client record via Client Central for a Pershing or STC client.
Lit No: FSC-CA-TR
Revised: 05/01/2018
Form ID: 34852
Publish: 05/31/2018
Details
FSC Securities Corp
Trust Certification of Investment Powers
Lit No:
Revised: 07/01/2015
Form ID: 34855
Publish: 09/30/2016
Details
FSC Securities Corp
SIS - Non-Wrap - Corporate RIA
Statement of Investment Selection (SIS) for Advisor Managed Portfolio (AMP) Non-Wrap accounts under a Corporate RIA.
Lit No:
Revised: 04/01/2018
Form ID: 34902
Publish: 05/08/2018
Details
FSC Securities Corp
SIS - Wrap - Corporate RIA
Statement of Investment Selection (SIS) for Advisor Managed Portfolio (AMP) Wrap accounts under a Corporate RIA.
Lit No:
Revised: 04/01/2018
Form ID: 34903
Publish: 05/08/2018
Details
FSC Securities Corp
SIS - Model Portfolios - Corporate RIA
Statement of Investment Selection (SIS) for Model Portfolio accounts under a Corporate RIA.
Lit No:
Revised: 09/01/2017
Form ID: 34906
Publish: 09/19/2018
Details
FSC Securities Corp
Client Agreement
This is the Client Agreement (also known as the Customer Agreement) for clients utilizing Pershing as custodian.
Lit No:
Revised: 01/22/2018
Form ID: 34908
Publish: 01/19/2018
Details
FSC Securities Corp
Client Signature Page (Pershing)
For use by Pershing advisors
Lit No:
Revised: 06/01/2017
Form ID: 34909
Publish: 05/31/2017
Details
FSC Securities Corp
Margin/Option Agreement (Pershing)
Use this form to request Margin or Option account features for accounts held at Pershing.
Lit No:
Revised: 11/01/2013
Form ID: 35367
Publish: 03/10/2016
Details
FSC Securities Corp
Sweep Program Terms & Conditions (NFS)
For NFS clients only.
Lit No:
Revised: 08/01/2015
Form ID: 35617
Publish: 06/01/2016
Details
FSC Securities Corp
Sweep Program Terms & Conditions (Pershing)
For Pershing clients only.
Lit No:
Revised: 06/01/2017
Form ID: 35618
Publish: 05/31/2017
Details
FSC Securities Corp
Account Application - Person (Salesforce) - NFS
This worksheet is used to collect data related to opening a new account via Salesforce for a National Financial Services (NFS) client.
Lit No: FSC-AA-Person
Revised: 01/22/2018
Form ID: 35628
Publish: 01/19/2018
Details
FSC Securities Corp
Account Application - Entity (Salesforce) - NFS
This worksheet is used to collect data related to opening a new account via Salesforce for a National Financial Services (NFS) client.
Lit No: FSC-AA-Entity
Revised: 05/01/2018
Form ID: 35629
Publish: 05/31/2018
Details
FSC Securities Corp
WMP Electronic Delivery Email Consent
Lit No:
Revised: 02/01/2014
Form ID: 36077
Publish: 03/10/2016
Details
FSC Securities Corp
IA Overlay (Independent) - Investment Advisory Svc
Investment Advisory Agreement for Third Party Money Managers for accounts under an Independent RIA.
Lit No: FSC 2011.2 Ind - TPMM
Revised: 10/01/2011
Form ID: 36078
Publish: 03/10/2016
Details
FSC Securities Corp
IA Overlay (Corporate) - Investment Advisory Svcs
Investment Advisory Agreement for Third Party Money Managers for accounts under a Corporate RIA.
Lit No: FSC 2011.2 Corp - TPMM
Revised: 10/01/2011
Form ID: 36079
Publish: 03/10/2016
Details
FSC Securities Corp
Client Application - Person (Salesforce) - NFS
This worksheet is used to collect data related to creating a new client record via Salesforce for a National Financial Services (NFS) client.
Lit No: FSC-CA-Person
Revised: 01/22/2018
Form ID: 36256
Publish: 01/19/2018
Details
FSC Securities Corp
Client Application - Entity (Salesforce) - NFS
This worksheet is used to collect data related to creating a new client record via Salesforce for a National Financial Services (NFS) client.
Lit No: FSC-CA-Entity
Revised: 05/01/2018
Form ID: 36257
Publish: 05/04/2018
Details
FSC Securities Corp
Client Signature Page (NFS)
For use by National Financial Services (NFS) advisors
Lit No:
Revised: 08/01/2015
Form ID: 36258
Publish: 07/11/2016
Details
FSC Securities Corp
Margin Addendum (NFS)
Lit No:
Revised: 06/01/2012
Form ID: 36259
Publish: 03/10/2016
Details
FSC Securities Corp
Affidavit of Domicile
This form is used to verify where a deceased person resided at the time of death.
Lit No:
Revised: 02/01/2010
Form ID: 36260
Publish: 03/10/2016
Details
FSC Securities Corp
Premiere Select SIMPLE IRA Application - NFS
Lit No: 1.828247.107 FL2
Revised: 01/01/2014
Form ID: 36360
Publish: 09/30/2016
Details
FSC Securities Corp
Premiere Select IRA Application - NFS
Lit No: 1.828246-FL2.107
Revised: 01/01/2014
Form ID: 36361
Publish: 09/30/2016
Details
FSC Securities Corp
Customer Agreement (NFS)
This is the Customer Agreement (also known as the Client Agreement) for clients utilizing NFS as custodian.
Lit No:
Revised: 01/22/2018
Form ID: 38890
Publish: 01/19/2018
Details
FSC Securities Corp
Advisory Service Brochure
Form ADV Part 2A
Lit No: FSC IA Brochure 2018.2
Revised: 08/08/2018
Form ID: 38891
Publish: 08/20/2018
Details
FSC Securities Corp
Brokerage Access (Checkwriting Application)
Use this form to add checkwriting features to an account held at National Financial (NFS).
Lit No: 1.807445-FL2.108
Revised: 08/01/2011
Form ID: 47289
Publish: 04/25/2016
Details
FSC Securities Corp
Non-Traded Closed-End Fund/Pfd. Stock Pre-Approval
Non Traded Preferred Stock Warrant
Lit No: AG-CAP
Revised: 04/17/2018
Form ID: 47290
Publish: 05/02/2018
Details
FSC Securities Corp
Pershing Mutual Fund Consolidation - Retail
Lit No: RPD150-ACAT
Revised: 05/01/2012
Form ID: 47291
Publish: 03/11/2016
Details
FSC Securities Corp
UTMA/UGMA Asset Transfer Request (NFS)
For NFS clients only.
Lit No:
Revised: 11/01/2011
Form ID: 47292
Publish: 09/30/2016
Details
FSC Securities Corp
Margin Application & Account Agreement (NFS)
Lit No: 1.903621.102
Revised: 08/01/2011
Form ID: 47293
Publish: 03/14/2016
Details
FSC Securities Corp
1031 RR-FLS Pre-Approval Form
Lit No:
Revised: 04/20/2013
Form ID: 47295
Publish: 07/17/2017
Details
FSC Securities Corp
1031 TIC/DST Pre-Approval Packet
Lit No:
Revised: 04/20/2013
Form ID: 47296
Publish: 07/17/2017
Details
FSC Securities Corp
One and the Same Letter (ACH Authorization)
A One and the Same Letter for accounts where the name on the brokerage account does not match the name on the bank account or voided check.
Lit No:
Revised: 05/01/2015
Form ID: 47297
Publish: 09/30/2016
Details
FSC Securities Corp
Acknowledgement of Breakpoint Waiver Form
Lit No: 18-0396
Revised: 04/01/2018
Form ID: 47298
Publish: 05/04/2018
Details
FSC Securities Corp
Advertising Transmittal
Lit No:
Revised: 09/21/2015
Form ID: 47299
Publish: 03/21/2016
Details
FSC Securities Corp
Affidavit of Full Force and Effect
Affidavit as to the Power of Attorney being in full force and effect.
Lit No:
Revised: 07/01/2012
Form ID: 47301
Publish: 03/14/2016
Details
FSC Securities Corp
Advisor Practice Review Workbook
Lit No: AG-1-APRW
Revised: 06/10/2018
Form ID: 47302
Publish: 08/06/2018
Details
FSC Securities Corp
Application to Add DBA Logo
This form is used to add a Registered Representative's DBA logo to their clients' Pershing brokerage account statements, trade confirmations, and other communications.
Lit No:
Revised: 04/01/2014
Form ID: 47303
Publish: 03/21/2016
Details
FSC Securities Corp
Asset Movement Authorization
This form is used to move assets into/between retirement brokerage accounts held with Pershing.
Lit No:
Revised: 01/01/2014
Form ID: 47304
Publish: 03/09/2017
Details
FSC Securities Corp
Brokerage Acct Mutual Fund De-Networking
This form is used to remove multiple mutual fund positions from a Pershing account to send back to the sponsor.
Lit No:
Revised: 01/01/2013
Form ID: 47305
Publish: 03/22/2016
Details
FSC Securities Corp
Broker's Letter 144 Example
Lit No:
Revised: 03/01/2016
Form ID: 47306
Publish: 03/15/2016
Details
FSC Securities Corp
Broker's Letter 144b Example
Lit No:
Revised: 03/01/2016
Form ID: 47308
Publish: 03/15/2016
Details
FSC Securities Corp
California Home Visit Disclosure
Lit No: CA 789.10
Revised: 06/01/2017
Form ID: 47309
Publish: 06/15/2017
Details
FSC Securities Corp
Certificate of Sole Proprietorship (Pershing)
Use this form to certify that the client is the sole proprietor of an entity for which you wish to open an account at Pershing.
Lit No:
Revised: 10/01/2016
Form ID: 47311
Publish: 09/30/2016
Details
FSC Securities Corp
Certificate of Sole Proprietorship (NFS)
Use this form to certify that the client is the sole proprietor of an entity for which you wish to open an account at NFS.
Lit No:
Revised: 10/01/2016
Form ID: 47312
Publish: 09/30/2016
Details
FSC Securities Corp
Check Writing Maintenance Request
This form is used to make changes to already established check writing account.
Lit No:
Revised: 07/01/2012
Form ID: 47313
Publish: 09/30/2016
Details
FSC Securities Corp
Client Action Form
This optional form provides documentation of changes or decisions made during a client/account review. It provides disclosure of the review as well as acknowledgement of the review by the client.
Lit No: AG-2-CCAF-0317
Revised: 03/01/2017
Form ID: 47317
Publish: 11/06/2017
Details
FSC Securities Corp
Client Indemnity Agreement - Bearer Instruments
Lit No:
Revised: 02/01/2010
Form ID: 47318
Publish: 03/22/2016
Details
FSC Securities Corp
Client Resignation Letter Number 1
Lit No:
Revised: 03/01/2016
Form ID: 47319
Publish: 03/14/2016
Details
FSC Securities Corp
Client Resignation Letter Number 2
Lit No:
Revised: 03/01/2016
Form ID: 47320
Publish: 03/14/2016
Details
FSC Securities Corp
Commission Direct Deposit Authorization
Lit No:
Revised: 08/01/2015
Form ID: 47321
Publish: 03/22/2016
Details
FSC Securities Corp
Advisor Compensation Schedule
Use this form to establish new or update existing rates for primary and/or secondary rep codes. This form is also sometimes referred to as the Rate Payout Change form.
Lit No:
Revised: 07/01/2018
Form ID: 47322
Publish: 08/09/2018
Details
FSC Securities Corp
Corporate IAR Request
Lit No: FSC2014.10
Revised: 04/01/2018
Form ID: 47323
Publish: 05/02/2018
Details
FSC Securities Corp
Cost Basis - Default Assignment Change
Lit No:
Revised: 12/01/2010
Form ID: 47324
Publish: 09/30/2016
Details
FSC Securities Corp
C-RIA Authorization
to Redirect Prospectus Delivery to Financial Advisor
Lit No:
Revised: 02/01/2015
Form ID: 47325
Publish: 03/11/2016
Details
FSC Securities Corp
Delegation of Supervisory Tasks
Lit No:
Revised: 08/01/2013
Form ID: 47326
Publish: 06/15/2017
Details
FSC Securities Corp
Distribution Change Disclosure Letter
Lit No:
Revised: 10/01/2008
Form ID: 47327
Publish: 03/11/2016
Details
FSC Securities Corp
Dividend Reinvestment
Lit No:
Revised: 02/01/2010
Form ID: 47328
Publish: 03/24/2016
Details
FSC Securities Corp
Electronic Delivery (Email) Agreement and Consent
Lit No:
Revised: 06/01/2017
Form ID: 47330
Publish: 06/23/2017
Details
FSC Securities Corp
EOI - 529 Plans
Lit No:
Revised: 09/01/2006
Form ID: 47331
Publish: 06/01/2016
Details
FSC Securities Corp
EOI - Direct Participation Program (DPP)
Lit No:
Revised: 09/01/2007
Form ID: 47332
Publish: 06/01/2016
Details
FSC Securities Corp
EOI - Equity Indexed Annuity
Lit No:
Revised: 11/01/2007
Form ID: 47333
Publish: 06/01/2016
Details
FSC Securities Corp
EOI - Mutual Fund Exchange
Lit No:
Revised: 09/01/2007
Form ID: 47334
Publish: 06/01/2016
Details
FSC Securities Corp
EOI - Mutual Fund
Lit No:
Revised: 09/01/2007
Form ID: 47335
Publish: 06/01/2016
Details
FSC Securities Corp
EOI - Non-Traded REIT
Lit No:
Revised: 09/01/2007
Form ID: 47336
Publish: 06/01/2016
Details
FSC Securities Corp
EOI - Unit Investment Trust (UIT)
Lit No:
Revised: 09/01/2007
Form ID: 47337
Publish: 06/01/2016
Details
FSC Securities Corp
EOI - Variable Life
Lit No:
Revised: 09/01/2007
Form ID: 47338
Publish: 06/01/2016
Details
FSC Securities Corp
Event Notification
Lit No:
Revised: 08/17/2015
Form ID: 47339
Publish: 03/16/2016
Details
FSC Securities Corp
Financial Networking Agreement
Lit No:
Revised: 03/01/2016
Form ID: 47340
Publish: 03/14/2016
Details
FSC Securities Corp
Financial Planning Billing Invoice
Lit No: FSC2010.1
Revised: 06/26/2018
Form ID: 47341
Publish: 07/05/2018
Details
FSC Securities Corp
Financial Planning Client Agreement
Lit No:
Revised: 10/01/2011
Form ID: 47342
Publish: 03/24/2016
Details
FSC Securities Corp
Financial Planning Hourly Fee Blotter
Lit No:
Revised: 10/01/2010
Form ID: 47343
Publish: 03/11/2016
Details
FSC Securities Corp
Financial Planning LOA for Payment
Lit No:
Revised: 06/26/2018
Form ID: 47344
Publish: 07/05/2018
Details
FSC Securities Corp
Financial Planning Program Guide
Lit No:
Revised: 03/30/2018
Form ID: 47345
Publish: 04/16/2018
Details
FSC Securities Corp
Financial Planning Remittance
Lit No:
Revised: 06/26/2018
Form ID: 47346
Publish: 07/05/2018
Details
FSC Securities Corp
FINRA Breakpoint Checklist & Worksheet
Lit No:
Revised: 03/01/2016
Form ID: 47347
Publish: 03/24/2016
Details
FSC Securities Corp
Independent IAR Request
Lit No:
Revised: 08/01/2016
Form ID: 47350
Publish: 09/16/2016
Details
FSC Securities Corp
Independent RIA Profile
Lit No:
Revised: 03/01/2016
Form ID: 47351
Publish: 03/24/2016
Details
FSC Securities Corp
Independent RIA Request
Lit No:
Revised: 08/01/2016
Form ID: 47352
Publish: 09/16/2016
Details
FSC Securities Corp
Independent RIA Variable Annuity Client Agreement
Vision2020
Lit No: Corp WMP VA Addendum - Ind 2011.1
Revised: 12/01/2011
Form ID: 47353
Publish: 03/22/2016
Details
FSC Securities Corp
Investment Club Account Agreement
Lit No:
Revised: 10/01/2016
Form ID: 47355
Publish: 10/19/2016
Details
FSC Securities Corp
Investment Transfer Form
Lit No:
Revised: 07/01/2010
Form ID: 47357
Publish: 03/24/2016
Details
FSC Securities Corp
IRA/ESA Distribution Request
Use this form for distributions from an ESA account or to process an IRA distribution from a non-QRP account held with Pershing.
Lit No: FRM-IRA-DIST-10-15
Revised: 10/01/2015
Form ID: 47359
Publish: 02/21/2018
Details
FSC Securities Corp
I-RIA Auth to Redirect Prospectus Delivery
RIA Authorization to redirect prospectus delivery to the Financial Advisor.
Lit No:
Revised: 03/01/2016
Form ID: 47360
Publish: 09/19/2016
Details
FSC Securities Corp
Irrevocable Stock or Bond Power (Pershing)
Lit No: STKPWR
Revised: 03/01/2016
Form ID: 47361
Publish: 03/16/2016
Details
FSC Securities Corp
LOA to Generate Courtesy 1099
A sample letter of authorization to generate a courtesy 1099 for a Pershing brokerage account.
Lit No:
Revised: 02/01/2002
Form ID: 47363
Publish: 03/21/2016
Details
FSC Securities Corp
Letter of Indemnity Request
Lit No:
Revised: 04/01/2014
Form ID: 47364
Publish: 04/05/2017
Details
FSC Securities Corp
Non-Solicitation Letter-Non-Investment Grade Bonds
Lit No:
Revised: 02/01/2010
Form ID: 47365
Publish: 03/23/2016
Details
FSC Securities Corp
Non-Solicitation Letter-Non-Listed Equities
Lit No:
Revised: 03/01/2016
Form ID: 47366
Publish: 03/23/2016
Details
FSC Securities Corp
Leveraged & Inverse ETF & Mutual Fund Client Ack.
Lit No: FSC-2-ETF-MF-CA-1114
Revised: 11/01/2014
Form ID: 47367
Publish: 03/16/2016
Details
FSC Securities Corp
Leveraged or Inverse ETF
LETF Multi-day Holding Period Suitability Documentation
Lit No:
Revised: 11/01/2014
Form ID: 47368
Publish: 03/24/2016
Details
FSC Securities Corp
Limited Trading Authorization
Lit No:
Revised: 09/01/2014
Form ID: 47369
Publish: 03/11/2016
Details
FSC Securities Corp
Margin Disclosure (NFS)
Lit No:
Revised: 09/01/2010
Form ID: 47372
Publish: 03/14/2016
Details
FSC Securities Corp
Margin Disclosure (Pershing)
Lit No:
Revised: 10/01/2016
Form ID: 47373
Publish: 10/31/2016
Details
FSC Securities Corp
Marketing Name Request
Lit No:
Revised: 09/28/2015
Form ID: 47374
Publish: 03/24/2016
Details
FSC Securities Corp
Media Appearance Acknowledgment
Lit No:
Revised: 09/02/2016
Form ID: 47376
Publish: 09/15/2016
Details
FSC Securities Corp
Model Portfolios Appendix 1
Lit No:
Revised: 03/30/2018
Form ID: 47377
Publish: 04/05/2018
Details
FSC Securities Corp
Municipal Entity Brokerage Account Certification
Lit No:
Revised: 06/01/2017
Form ID: 47378
Publish: 06/15/2017
Details
FSC Securities Corp
Non-Brokerage Change Request
Use this form to facilitate changes to the Registered Representative or Broker/Dealer at a sponsor company.
Lit No:
Revised: 04/01/2017
Form ID: 47379
Publish: 03/27/2017
Details
FSC Securities Corp
Non-Discretionary Billing Invoice
Lit No:
Revised: 06/26/2018
Form ID: 47380
Publish: 07/05/2018
Details
FSC Securities Corp
Non-Discretionary Client Agreement - Addendum A
Lit No: FSC Non-Disc 1A Services Addendum A 2011.2
Revised: 11/01/2011
Form ID: 47381
Publish: 03/24/2016
Details
FSC Securities Corp
Non-Discretionary Client Agreement - Addendum B
Lit No: FSC Non-Disc 1A Services Addendum B 2011.2
Revised: 11/01/2011
Form ID: 47382
Publish: 03/24/2016
Details
FSC Securities Corp
Non-Discretionary Client Agreement
Lit No: FSC Non-Discretionary 1A Services 2011.2
Revised: 11/01/2011
Form ID: 47383
Publish: 03/23/2016
Details
FSC Securities Corp
Non-Discretionary Hourly Fee Blotter
Lit No:
Revised: 05/01/2010
Form ID: 47384
Publish: 03/16/2016
Details
FSC Securities Corp
Non-Discretionary LOA for Payment
Lit No:
Revised: 06/26/2018
Form ID: 47385
Publish: 07/05/2018
Details
FSC Securities Corp
Non-Discretionary Program Guide
Lit No:
Revised: 03/30/2018
Form ID: 47386
Publish: 04/13/2018
Details
FSC Securities Corp
Non-Discretionary Remittance
Lit No: FSC Non-Discretionary IA Services 2013.1
Revised: 06/26/2018
Form ID: 47387
Publish: 07/05/2018
Details
FSC Securities Corp
Non-Traded REIT Transaction Pre-Approval Inst.
Lit No:
Revised: 07/15/2013
Form ID: 47389
Publish: 07/17/2017
Details
FSC Securities Corp
Oil and Gas Attestation
Lit No: AG-Rev
Revised: 11/01/2016
Form ID: 47390
Publish: 12/02/2016
Details
FSC Securities Corp
Outgoing Federal Fund Wire Request (NFS)
Lit No:
Revised: 01/01/2014
Form ID: 47391
Publish: 09/30/2016
Details
FSC Securities Corp
Outgoing Federal Fund Wire Request (Pershing)
Lit No:
Revised: 01/01/2014
Form ID: 47392
Publish: 09/30/2016
Details
FSC Securities Corp
Pershing Mutual Fund Consolidation - Retirement
Lit No: RPD150-ACAT
Revised: 05/01/2012
Form ID: 47394
Publish: 03/11/2016
Details
FSC Securities Corp
Authorization to Disclose Customer Information
This form (also known as a Privacy Waiver) is used to provide authorization to disclose information about your client's account to a third-party (such as a family member, friend, attorney, accountant)
Lit No:
Revised: 04/01/2008
Form ID: 47396
Publish: 03/11/2016
Details
FSC Securities Corp
Private Investment Form
Use this form to authorize Pershing to issue funds from your account to purchase an investment offered through a private investment.
Lit No: FRM-PRI-INV-07-15
Revised: 07/01/2015
Form ID: 47397
Publish: 09/21/2017
Details
FSC Securities Corp
Professional Designation Approval Request
Lit No:
Revised: 08/07/2015
Form ID: 47398
Publish: 03/16/2016
Details
FSC Securities Corp
Retail Brokerage Journal Request (NFS)
Lit No:
Revised: 01/01/2014
Form ID: 47400
Publish: 11/04/2016
Details
FSC Securities Corp
Retail Brokerage Journal Request (Pershing)
Lit No:
Revised: 01/01/2014
Form ID: 47401
Publish: 11/04/2016
Details
FSC Securities Corp
Risk Tolerance Questionnaire (RTQ)
Lit No:
Revised: 04/01/2018
Form ID: 47402
Publish: 04/20/2018
Details
FSC Securities Corp
Roth Conversion Recharacterization Request
Pershing
Lit No: ROTHC
Revised: 06/01/2014
Form ID: 47403
Publish: 09/30/2016
Details
FSC Securities Corp
Sales Letter 144 Example
Lit No:
Revised: 10/01/2016
Form ID: 47404
Publish: 10/04/2016
Details
FSC Securities Corp
Sales Letter 144K Example
Lit No:
Revised: 10/01/2016
Form ID: 47405
Publish: 10/04/2016
Details
FSC Securities Corp
Sales Letter 145 Example
Lit No:
Revised: 10/01/2016
Form ID: 47406
Publish: 10/04/2016
Details
FSC Securities Corp
Sales Letter 701 Example
Lit No:
Revised: 10/01/2016
Form ID: 47407
Publish: 10/04/2016
Details
FSC Securities Corp
Sales Removal Letter 144K Example
Lit No:
Revised: 10/01/2016
Form ID: 47408
Publish: 10/04/2016
Details
FSC Securities Corp
Signature Guarantee Certification
Use for requesting that a document be Medallion Signature Guaranteed.
Lit No:
Revised: 10/01/2017
Form ID: 47409
Publish: 11/01/2017
Details
FSC Securities Corp
SMA UMA Appendix 1
Lit No:
Revised: 03/30/2018
Form ID: 47410
Publish: 04/05/2018
Details
FSC Securities Corp
SIS - Non-Wrap - Independent RIA
Statement of Investment Selection (SIS) for Advisor Managed Portfolio (AMP) Non-Wrap accounts under an Independent RIA.
Lit No:
Revised: 04/01/2018
Form ID: 47411
Publish: 04/20/2018
Details
FSC Securities Corp
SIS - Wrap - Independent RIA
Statement of Investment Selection (SIS) for Advisor Managed Portfolio (AMP) Wrap accounts under an Independent RIA.
Lit No:
Revised: 04/01/2018
Form ID: 47412
Publish: 04/20/2018
Details
FSC Securities Corp
SIS - Model Portfolios - Independent RIA
Statement of Investment Selection (SIS) for Model Portfolio accounts under an Independent RIA.
Lit No:
Revised: 09/01/2018
Form ID: 47413
Publish: 09/19/2018
Details
FSC Securities Corp
Stock Certificate Third Party Release (NFS)
Lit No:
Revised: 11/01/2015
Form ID: 47414
Publish: 09/30/2016
Details
FSC Securities Corp
Stock Certificate Third Party Release (Pershing)
Lit No:
Revised: 11/01/2015
Form ID: 47415
Publish: 09/30/2016
Details
FSC Securities Corp
Stop Release Letter for Stock Certificates
Lit No:
Revised: 02/01/2010
Form ID: 47416
Publish: 03/11/2016
Details
FSC Securities Corp
Streetscape User Request
Lit No:
Revised: 08/01/2013
Form ID: 47417
Publish: 03/15/2016
Details
FSC Securities Corp
Substantially Equal Periodic Payments 72(t)
Lit No:
Revised: 01/01/2012
Form ID: 47418
Publish: 03/11/2016
Details
FSC Securities Corp
STC - Designation or Change of Beneficiary
Use this form to designate or change the beneficiary(-ies) on an existing SunAmerica Trust Company (STC) retirement account.
Lit No:
Revised: 08/01/2015
Form ID: 47419
Publish: 03/22/2016
Details
FSC Securities Corp
STC - Roth Adoption Agreement
This form is required to establish a Roth IRA account with SunAmerica Trust Company (STC).
Lit No:
Revised: 09/01/2017
Form ID: 47420
Publish: 10/12/2017
Details
FSC Securities Corp
STC - Traditional Adoption Agreement
This form is required to establish a Traditional IRA account with SunAmerica Trust Company (STC).
Lit No:
Revised: 09/01/2017
Form ID: 47421
Publish: 10/12/2017
Details
FSC Securities Corp
Systematic Withdrawal Authorization
Lit No:
Revised: 04/01/2014
Form ID: 47422
Publish: 09/30/2016
Details
FSC Securities Corp
Temporary Out of Office Notification
Lit No:
Revised: 07/01/2017
Form ID: 47423
Publish: 07/20/2017
Details
FSC Securities Corp
Third Party Check Request (NFS)
Lit No:
Revised: 01/01/2014
Form ID: 47424
Publish: 09/30/2016
Details
FSC Securities Corp
Third Party Check Request (Pershing)
Lit No:
Revised: 01/01/2014
Form ID: 47425
Publish: 09/30/2016
Details
FSC Securities Corp
UTMA/UGMA Asset Transfer Request (Pershing)
For Pershing clients only.
Lit No:
Revised: 01/01/2016
Form ID: 47427
Publish: 09/30/2016
Details
FSC Securities Corp
Variable Annuity Suitability Packet
Use this form to submit Variable Annuity Initial Purchase and Variable Annuity Replacement transactions to Sales Supervision for Pre-Approval.
Lit No:
Revised: 12/01/2015
Form ID: 47428
Publish: 07/17/2017
Details
FSC Securities Corp
Alternative Investment Pre-Approval Packet
This form is to be used for preapproval suitability review of non-traded REITs or Equipment Leasing (infrastructure) products.
Lit No:
Revised: 05/01/2016
Form ID: 47829
Publish: 08/18/2017
Details
FSC Securities Corp
WMP QPR Electronic Delivery Consent Form/Agreement
Consent agreement for electronic delivery of Wealth Management Platform (WMP) quarterly performance reports (QPRs).
Lit No:
Revised: 06/01/2015
Form ID: 47967
Publish: 04/01/2016
Details
FSC Securities Corp
Power of Attorney with Durable Provision
Lit No:
Revised: 05/01/2016
Form ID: 48687
Publish: 05/03/2016
Details
FSC Securities Corp
Additional Client Signature Page (Pershing)
This form is for Pershing advisors only. For use with accounts types where the SSN/TIN of the account is different than that of the client, requiring multiple signature pages (ex: Custodial)
Lit No:
Revised: 06/01/2017
Form ID: 49857
Publish: 05/31/2017
Details
FSC Securities Corp
Additional Client Signature Page (NFS)
This form is for National Financial Advisors only. For use with accounts types where the SSN/TIN of the account is different than that of the client, requiring multiple signature pages (ex: Custodial)
Lit No:
Revised: 08/01/2015
Form ID: 49858
Publish: 07/11/2016
Details
FSC Securities Corp
Account Holder Signature Card
Use this form to establish a "wet" signature for accounts opened with eSignature.
Lit No:
Revised: 01/01/1900
Form ID: 49991
Publish: 07/21/2016
Details
FSC Securities Corp
Variable Annuity Share Class Disclosure
Variable Annuity Share Class Disclosure and Acknowledgement form
Lit No:
Revised: 10/01/2015
Form ID: 50298
Publish: 07/29/2016
Details
FSC Securities Corp
Retirement Income Fact Finder
Lit No:
Revised: 09/01/2016
Form ID: 50869
Publish: 09/12/2016
Details
FSC Securities Corp
Advisor Managed Portfolios Appendix 1
Lit No:
Revised: 03/30/2018
Form ID: 51205
Publish: 04/05/2018
Details
FSC Securities Corp
Client Application - Person (Salesforce)
This worksheet is used to collect data related to creating a new client record via Salesforce for a Pershing client.
Lit No:
Revised: 01/22/2018
Form ID: 51697
Publish: 01/19/2018
Details
FSC Securities Corp
Account Application - Person (Salesforce)
This worksheet is used to collect data related to opening a new account via Salesforce for a Pershing client.
Lit No:
Revised: 01/22/2018
Form ID: 51698
Publish: 01/19/2018
Details
FSC Securities Corp
Annual Delivery of Privacy Policy Guidance I-RIA
Lit No:
Revised: 12/01/2016
Form ID: 52437
Publish: 12/19/2016
Details
FSC Securities Corp
FINRA Rule 2273 Disclosure
Lit No:
Revised: 01/01/2017
Form ID: 53569
Publish: 01/23/2017
Details
FSC Securities Corp
Client Application - Entity (Salesforce)
This worksheet is used to collect data related to creating a new client record via Salesforce for a Pershing LLC client.
Lit No:
Revised: 05/01/2018
Form ID: 54301
Publish: 05/04/2018
Details
FSC Securities Corp
Account Application - Entity (Salesforce)
This worksheet is used to collect data related to opening a new account via Salesforce for a Pershing LLC client.
Lit No:
Revised: 02/01/2017
Form ID: 54302
Publish: 04/28/2017
Details
FSC Securities Corp
FLS Guide to Approving Inactive Alerts in Account
Lit No: FSC-2FLS-AIA-0417
Revised: 04/01/2017
Form ID: 55537
Publish: 04/13/2017
Details
FSC Securities Corp
FSC SMA/UMA Client Agreement
Lit No:
Revised: 03/30/2018
Form ID: 56435
Publish: 04/05/2018
Details
FSC Securities Corp
FSC MPP Client Agreement
Lit No:
Revised: 03/30/2018
Form ID: 56436
Publish: 04/05/2018
Details
FSC Securities Corp
FSC AMP Client Agreement
Lit No:
Revised: 03/30/2018
Form ID: 56437
Publish: 04/05/2018
Details
FSC Securities Corp
Rollover Disclosure Form: Pension Plan to IRA
The Pension Plan to IRA Rollover/Transfer Disclosure form is used when it is the advisor's recommendation that the client roll over assets from his/her ERISA pension plan to an IRA.
Lit No: FSC-2-PP-IRA-TD-0318
Revised: 03/01/2018
Form ID: 56512
Publish: 04/03/2018
Details
FSC Securities Corp
Rollover Disclosure Form: IRA to Retirement
The IRA to Retirement Plan Account Rollover/Transfer Disclosure form is used when it is the advisor's recommendation that the client roll over assets from his/her IRA to his/her Retirement plan accoun
Lit No: FSC-2-IRA-RPA-TD-0318
Revised: 03/01/2018
Form ID: 56516
Publish: 04/03/2018
Details
FSC Securities Corp
Rollover Disclosure Form: IRA to IRA
The IRA to IRA Rollover/Transfer Disclosure form is used when it is the advisor's recommendation that the client roll over assets from his or her existing IRA to a new IRA.
Lit No: FSC-2-IRA-IRA-TD-0318
Revised: 03/01/2018
Form ID: 56520
Publish: 04/03/2018
Details
FSC Securities Corp
Rollover Disclosure Form: ERISA to Retirement
The ERISA Plan to Retirement Plan Rollover/Transfer Disclosure form is used when it is the advisor's recommendation that the client roll over assets from his or her ERISA plan account to a new plan ac
Lit No: FSC-2-ERISA-TD-0318
Revised: 03/01/2018
Form ID: 56524
Publish: 04/03/2018
Details
FSC Securities Corp
Rollover Disclosure Form: ERISA to IRA
The ERISA Plan Account to IRA Rollover/Transfer Disclosure form is used when it is the advisor's recommendation that the client roll over assets from his or his ERISA plan account to an IRA.
Lit No: FSC-2-ERISA-IRA-TD-0318
Revised: 03/01/2018
Form ID: 56528
Publish: 08/30/2018
Details
FSC Securities Corp
RPCS Level Commission Agreement-Trustee Direct
Client Services Agreement Fiduciary/Level Commission Schedule
Lit No: V.1 FSC RPCS FID.LEV.COMM.4.4.18
Revised: 04/04/2018
Form ID: 56549
Publish: 04/13/2018
Details
FSC Securities Corp
RPCS Level Commission Agreement-Participant Direct
Client Services Agreement Fiduciary/Level Commission Schedule
Lit No: V.4 FSC RPCS FID.LEV.COMM.10.15.17
Revised: 10/15/2017
Form ID: 56553
Publish: 11/29/2017
Details
FSC Securities Corp
RPCS Advisory Fee Agreement-Trustee Directed
Client Services Agreement Fiduciary/Fee Schedule
Lit No: v.1 FSC.RPCS.FID.ADV.FEE.4.4.18
Revised: 04/04/2018
Form ID: 56557
Publish: 04/13/2018
Details
FSC Securities Corp
RPCS Advisory Fee Agreement-Participant Directed
Client Services Agreement Fiduciary/Fee Schedule
Lit No: V.4 FSC RPCS FID.ADV.FEE.10.15.17
Revised: 10/15/2017
Form ID: 56561
Publish: 11/29/2017
Details
FSC Securities Corp
ERISA Establish Kit Part-Directed Adv. Fee
Lit No: AG-2-ERISA-PB-ARL
Revised: 10/15/2017
Form ID: 57522
Publish: 03/21/2018
Details
FSC Securities Corp
ERISA Establish Kit Trustee-Directed Fee
Lit No: AG-2-ERISA-PB-ARL
Revised: 04/01/2018
Form ID: 57523
Publish: 04/16/2018
Details
FSC Securities Corp
ERISA Establish Kit Trustee-Directed Level
Lit No: AG-2-ERISA-PB-ARL
Revised: 04/01/2018
Form ID: 57524
Publish: 04/16/2018
Details
FSC Securities Corp
ERISA Establish Kit Part-Directed Level
Lit No: AG-2-ERISA-PB-ARL
Revised: 10/15/2017
Form ID: 57525
Publish: 03/21/2018
Details
FSC Securities Corp
ERISA Plan New Relationship Set up
Lit No: AG-2-ERISA-PB-ARL
Revised: 10/15/2017
Form ID: 57526
Publish: 03/26/2018
Details
FSC Securities Corp
Political Contribution Pre-Approval Request
Lit No: 17-0221
Revised: 08/01/2017
Form ID: 58158
Publish: 08/21/2017
Details
FSC Securities Corp
OneView DBA Logo
Use the power of your approved DBA logo to create a professional look to your clients' OneView reports. By adding your approved DBA logo, the reports keep your brand and your professional look in fron
Lit No:
Revised: 07/01/2016
Form ID: 58970
Publish: 10/12/2017
Details
FSC Securities Corp
ACH Authorization Agreement for Pershing Accounts
Use this form to add ACH instructions to a Pershing account.
Lit No:
Revised: 10/01/2017
Form ID: 58974
Publish: 06/19/2018
Details
FSC Securities Corp
SMA/UMA Client Agreement - Independent RIA
Lit No:
Revised: 03/30/2018
Form ID: 59161
Publish: 04/05/2018
Details
FSC Securities Corp
MPP Client Agreement - Independent RIA
Lit No:
Revised: 03/30/2018
Form ID: 59165
Publish: 04/05/2018
Details
FSC Securities Corp
AMP Client Agreement - Independent RIA
Lit No:
Revised: 03/30/2018
Form ID: 59166
Publish: 04/05/2018
Details
FSC Securities Corp
Client Application - Person (Short Form)
This worksheet is used to collect data related to creating a new client record via Client Central for a Pershing or STC client. Only U.S. citizens living in the U.S. may use this form.
Lit No:
Revised: 01/22/2018
Form ID: 59384
Publish: 01/04/2018
Details
FSC Securities Corp
Account Application - Person (Short Form)
This worksheet is used to collect data related to opening a new account via Client Central for a Pershing or STC client. Only U.S. citizens living in the U.S. may use this form.
Lit No:
Revised: 01/22/2018
Form ID: 59385
Publish: 01/19/2018
Details
FSC Securities Corp
Client Application - Person (Short Form) (NFS)
This worksheet is used to collect data related to creating a new client record via Salesforce for an NFS client. Only U.S. citizens living in the U.S. may use this form.
Lit No:
Revised: 01/22/2018
Form ID: 59430
Publish: 01/04/2018
Details
FSC Securities Corp
Account Application - Person (Short Form) (NFS)
This worksheet is used to collect data related to opening a new account via Client Central for an NFS client. Only U.S. citizens living in the U.S. may use this form.
Lit No:
Revised: 01/22/2018
Form ID: 59433
Publish: 01/19/2018
Details
FSC Securities Corp
Entity Beneficial Ownership Addendum
This form must be completed by the person opening a new account on behalf of a legal entity and is an addendum to the Entity Beneficial Ownership form.
Lit No:
Revised: 06/01/2018
Form ID: 61213
Publish: 08/10/2018
Details
FSC Securities Corp
Entity Beneficial Ownership
This form must be completed by the person opening a new account on behalf of a legal entity to identify any owner directly or indirectly owns 25% or more of the equity interests of the legal entity.
Lit No:
Revised: 06/01/2018
Form ID: 61217
Publish: 08/10/2018
Details
FSC Securities Corp
Non-Corporate Resolution
Lit No: FRM-NONCORP-RES-02-15
Revised: 02/01/2015
Form ID: 61574
Publish: 03/29/2018
Details
FSC Securities Corp
Private Placement Pre-Approval Packet
Lit No:
Revised: 08/01/2018
Form ID: 63828
Publish: 09/05/2018
Details
FSC Securities Corp
Cyber Incident
Lit No:
Revised: 09/01/2018
Form ID: 63940
Publish: 09/10/2018
Details

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Aberdeen Asset Management
AIG Annuities - Fixed
AIG Annuities - Index
AIG Annuities - Variable
AIG Annuities - Variable NY
AIG Funds
Alger Funds
Alliance Bernstein
Allianz Global Investors
Allianz Life Insurance Company of North America
Allstate Life Insurance Company
Amana Mutual Fund
American Beacon
American Century Investments
American Equity Investment Life Insurance Co.
American Funds
American General Life - Annuities
American General Life and Accident Ins. Co. (AIG)
American Realty Capital
American United Life
AMG Funds
Amundi Pioneer Asset Management
Aquila Funds
Arctrust
Ariel Investments
Arrow Funds
Aspire Financial Services
ATEL Capital Group
Athene Annuity
Ave Maria
AXA Equitable - Annuities
AXA Equitable - Life Insurance
Behringer Harvard Securities
Bel Air Investment Advisors LLC
Berwyn Funds
Black Creek Group
BlackRock
Bluerock Capital Markets
Bright Directions
Bright Start 529
Brighthouse Financial
Buffalo Funds
Burnham Funds
Calamos Investments
Calvert Investments
Capital Management Group
Carter Validus Mission Critical REIT
Carter Validus Mission Critical REIT II
Catalyst Funds
Cavanal Hill Funds
Charles Schwab & Co., Inc.
CIM Group
CION Investments
Clark Capital
CLS Investments
CNL
College Choice 529
Columbia Threadneedle
Community National Bank
Cottonwood Residential
Cunat --NEW--
CV Data Center --NEW--
Cypress Leasing
Davis Funds
Delaware Funds
Delaware Life Insurance
Dodge & Cox
DoubleLine Funds
Dreyfus
Driehaus Capital Management
Dunham & Associates Investment Counsel
Eagle Asset Management
Eagle Life Insurance Co
Eaton Vance
Edgar Lomax
Edgewood Funds
Empire Financial Group
Evolv Capital
Fairholme Funds
Federated Investors
Fidelity & Guaranty Life
Fidelity Advisors
Fidelity Investments Institutional Wealth Services
First Eagle Funds
First Investor Funds
FolioFN
Forethought Distributors
Forward Funds - Salient Partners
Franklin Square Capital Partners
Franklin Templeton
FSC Securities Corp
FTJ FundChoice
Future Scholar
Gabelli Funds
Goldman Sachs Asset Management
GPB
Great-West Financial
Greenbacker
Griffin Capital
Guardian Insurance & Annuity Company, Inc.
Guggenheim Investments
Harbor Funds
Hartford Investment Financial Svcs - Mutual Funds
Hartford Investment Financial Svcs College Plans
Hartford Life Insurance Company - Life Ins
Heartland Advisors
Hennessy Funds
Highland Capital Management
Hines
Homestead Funds
Horizon Investments
ICON Advisers Inc.
Infinity Funds
Inland Securities
Integrity (W&S Financial Group Distributors)-FA
Integrity (W&S Financial Group Distributors)-VA
Integrity Viking Funds
Invesco
IVY Investments
J.P. Morgan Clearing Corp
J.P. Morgan Funds
Jackson National Life Insurance Company
James Advantage Funds --NEW--
Jensen Funds
JLL Income Property Trust
John Hancock Freedom 529
John Hancock Investments
John Hancock Life Ins Co - Life Insurance
Kansas City Life Ins
KBS REIT
Keeley Funds
Knighthead Annuities
Learning Quest
Leuthold Weeden Capital Management
Liberty Trust Company
Life Insurance Company of the Southwest (LSW)
Lincoln Financial Group - Annuities
Lincoln Financial Group - Life Ins
Lincoln Property Company --NEW--
Lindner Capital Advisors
Lodging Opportunity Fund, REIT
Lonestar 529
Loomis Sayles Funds
Lord Abbett & Co.
Loring Ward
MacKenzie Realty Capital
Mainstar Trust
MainStay Investments
Manning & Napier
MassMutual - Annuities
MassMutual - Disability Income
MassMutual - Life
MassMutual - Long Term Care
Matthews Asia
Megatel Capital Investment --NEW--
MFS Investment Management
Midland IRA
Midland National Life
Midland Retirement Distributors
Moody National REIT II
MVP Reit
National Integrity (W&S Financial Group Dist) - FA
National Integrity (W&S Financial Group Dist) - VA
National Life Insurance Company
Nationwide Advisory Solutions --NEW--
Nationwide Annuities
Nationwide Insurance
Natixis Funds
NEST 529 College Savings --NEW--
New York Life Annuities
NFS (National Financial Services)
Nicholas Family of Funds
NorthStar
Nuveen Advisory
Oakmark Funds
OCM Gold Fund
Old Mutual
OneAmerica Securities
Oppenheimer Funds
Owl Rock --NEW--
Pacific Advisors Fund
Pacific Funds
Pacific Life & Annuity (NY-Annuities)
Pacific Life & Annuity (NY-Life Insurance)
Pacific Life (Annuities)
Pacific Life (Life Insurance)
Pacific Life Magnastar
Parnassus Funds
Pax World Funds
Permanent Portfolio Funds
Perritt Funds
Pershing
Pershing Advisor Solutions
Phillips Edison
PIMCO
Preferred Apartment Communities
Preferred Capital Securities
Principal Financial Group
Principal Funds
Private Client Services
ProFunds
Protective Life Insurance Company
Provasi Capital Partners
Prudential - M Group
Prudential Annuities
Prudential Annuities (Advanced Series)
Prudential Mutual Funds
Prudential Premier Investment
Prudential Premier Retirement
PruSecure Fixed Indexed Annuity
Putnam Funds
Quaker Funds
RBC Capital Markets
Reliance Standard
ReliaStar Life Insurance Company of New York
Resource Real Estate Opportunity REIT
RK Properties
Rodin Global Property Trust
Royal Alliance
Royce Funds
SagePoint Financial
Sammons Retirement Solutions
Saratoga Capital Management
Scholars Choice
Security Benefit Life
SEI (Trust 3000 Forms Only)
SEI (Wealth Platform Forms Only)
Selected Funds
Shopoff Realty Investments
Sierra Income Corporation
Sit Mutual Funds
Spire Investment Partners, LLC
Steben & Company
Stira Capital Markets Group
Strategic Equity Management
Strategic Storage Growth Trust
Strategic Storage Trust II
Strategic Storage Trust IV, Inc
Strategic Student & Senior Housing Trust, Inc
Sun Life of Canada - Annuities
Talcott Resolution - Annuities
TCA by E-TRADE
TD Ameritrade
Terra Capital Partners
The Pacific Financial Group
The Standard --NEW--
Thornburg Investment Management
Time Equities
Timothy Plan
Tocqueville Funds
Toews Corporation
Touchstone Investments
Transamerica Life Insurance Co - Annuity
Transamerica Life Insurance Co - Insurance
Transamerica Mutual Funds
TriLinc Global Impact Fund
Triloma
Triton Pacific Investment Corporation & TB, LP
US Government
VALIC
Van Eck Global
Victory Funds
Virtus Funds
Voya - Annuities
Voya - Life Insurance
Voya Investment Management
W P Carey & Co.
Wasatch Funds
Waveland Energy Partners
WBI Investments
Weitz Funds
Wells Fargo Advantage Funds
Western National - American General
Western National - US Life
Western-Southern
WNC Housing Credit
Woodbury Financial Services, Inc
Yorktown Funds

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