Private Client Services Online Forms Library

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Private Client Services
Part 2A of Form ADV
Lit No:
Revised: 03/31/2015
Form ID: 24384
Publish: 08/04/2015
Details
Private Client Services
Request for Signature Guarantee
Lit No:
Revised: 04/06/2015
Form ID: 24399
Publish: 08/04/2015
Details
Private Client Services
Systematic Investment Request
Lit No:
Revised: 07/21/2015
Form ID: 24400
Publish: 08/04/2015
Details
Private Client Services
Customer Account
Includes Business Transmittal, Brokerage Account Profile and Broker/Dealer Change
Lit No:
Revised: 06/30/2018
Form ID: 27421
Publish: 07/18/2018
Details
Private Client Services
Securites Purchase and Disclosure
Lit No:
Revised: 09/30/2015
Form ID: 27422
Publish: 11/08/2017
Details
Private Client Services
Institutional Suitability Certificate
Lit No:
Revised: 07/21/2015
Form ID: 29472
Publish: 08/04/2015
Details
Private Client Services
Suitability Update
Lit No:
Revised: 09/30/2015
Form ID: 29473
Publish: 09/28/2015
Details
Private Client Services
Advisory Account Selection Disclosure
Lit No:
Revised: 07/21/2015
Form ID: 31687
Publish: 08/04/2015
Details
Private Client Services
Change of Address
Lit No:
Revised: 06/06/2015
Form ID: 31712
Publish: 08/04/2015
Details
Private Client Services
Advisory Client Annual Meeting Form
Lit No:
Revised: 07/21/2015
Form ID: 31713
Publish: 08/25/2015
Details
Private Client Services
Money Movement Request
Lit No:
Revised: 05/20/2015
Form ID: 31714
Publish: 08/04/2015
Details
Private Client Services
Policy Delivery Receipt
Lit No:
Revised: 04/06/2015
Form ID: 31715
Publish: 08/04/2015
Details
Private Client Services
Client Event/Seminar/Advertising Reimbursement
Lit No:
Revised: 07/21/2015
Form ID: 32550
Publish: 08/04/2015
Details
Private Client Services
Form ADV Wrap Fee Program Brochure
Lit No:
Revised: 03/31/2015
Form ID: 33726
Publish: 08/04/2015
Details
Private Client Services
Mutual Fund Share Class Analysis Disclosure
Lit No:
Revised: 07/21/2015
Form ID: 33752
Publish: 08/04/2015
Details
Private Client Services
Split Code Responsibilities Breakdown
Lit No:
Revised: 07/21/2015
Form ID: 34455
Publish: 08/04/2015
Details
Private Client Services
Senior Client Account Review
Lit No:
Revised: 07/21/2015
Form ID: 34456
Publish: 08/04/2015
Details
Private Client Services
TPAM Account
Lit No:
Revised: 07/21/2015
Form ID: 36847
Publish: 08/05/2015
Details
Private Client Services
Low-Priced Stock Acknowledgement
Lit No:
Revised: 03/31/2015
Form ID: 43666
Publish: 08/05/2015
Details
Private Client Services
Client Meeting Record Form
Lit No:
Revised: 07/21/2015
Form ID: 43667
Publish: 08/13/2015
Details
Private Client Services
Non-Bank Investment Product Disclosure
Lit No:
Revised: 07/21/2015
Form ID: 43668
Publish: 08/05/2015
Details
Private Client Services
Outside Business Disclosure
Lit No:
Revised: 07/21/2015
Form ID: 43669
Publish: 08/13/2015
Details
Private Client Services
Social Networking and Website Disclosure
Lit No:
Revised: 07/21/2015
Form ID: 43670
Publish: 08/05/2015
Details
Private Client Services
Supervisory Fee Based Account Review
Lit No:
Revised: 07/21/2015
Form ID: 43671
Publish: 08/13/2015
Details
Private Client Services
Unit Investment Trust Disclosure
Lit No:
Revised: 04/06/2015
Form ID: 43672
Publish: 08/13/2015
Details
Private Client Services
JPU Advisory Allocation Account
Lit No:
Revised: 10/15/2016
Form ID: 43673
Publish: 11/21/2017
Details
Private Client Services
Fixed Annuity Suitability
Lit No:
Revised: 07/21/2015
Form ID: 43674
Publish: 08/13/2015
Details
Private Client Services
Independent RIA Activity Disclosure
Lit No:
Revised: 08/01/2016
Form ID: 43675
Publish: 12/08/2016
Details
Private Client Services
Interested Parties
Lit No:
Revised: 07/21/2015
Form ID: 43676
Publish: 08/13/2015
Details
Private Client Services
Financial Planning Client Information & Engagement
Lit No:
Revised: 07/21/2015
Form ID: 44116
Publish: 08/24/2015
Details
Private Client Services
Advisory Allocation Account Investor Information
Lit No:
Revised: 07/21/2015
Form ID: 44421
Publish: 09/16/2015
Details
Private Client Services
Variable Annuity Share Class Disclosure
Lit No:
Revised: 09/30/2016
Form ID: 51393
Publish: 10/05/2016
Details
Private Client Services
Understanding Cost Basis Reporting Regulations
Lit No:
Revised: 10/01/2016
Form ID: 51565
Publish: 10/27/2016
Details
Private Client Services
Broker Dealer Change
Lit No:
Revised: 10/21/2018
Form ID: 58988
Publish: 10/24/2018
Details
Private Client Services
Retirement Plan Certification of Authority
Lit No:
Revised: 10/01/2017
Form ID: 58989
Publish: 10/27/2017
Details
Private Client Services
Asset Journal Request
Lit No:
Revised: 09/26/2016
Form ID: 60639
Publish: 02/01/2018
Details
Private Client Services
Trustee Certification of Investment Powers
Lit No:
Revised: 02/01/2018
Form ID: 60861
Publish: 03/02/2018
Details
Private Client Services
Split Representative Code Request
Lit No:
Revised: 03/01/2018
Form ID: 61629
Publish: 04/12/2018
Details
Private Client Services
Certification of Beneficial Owners
Lit No:
Revised: 05/11/2018
Form ID: 62050
Publish: 05/14/2018
Details
Private Client Services
Affidavit POA In Full Force and Effect
Lit No: PCS POA
Revised: 10/12/2018
Form ID: 64443
Publish: 10/16/2018
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
College Counts 529 Fund --NEW--
College SAVE --NEW--
CollegeBound 529 --NEW--
Columbia Threadneedle
Community National Bank
Cottonwood Residential
Cunat
CV Data Center
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
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
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
MFS Investment Management
Midland IRA
Midland National Life
Midland Retirement Distributors
Moody National REIT II
MVP Reit
Nassau Re --NEW--
National Integrity (W&S Financial Group Dist) - FA
National Integrity (W&S Financial Group Dist) - VA
National Life Insurance Company
Nationwide Advisory Solutions
Nationwide Annuities
Nationwide Insurance
Natixis Funds
NEST 529 Advisor Plan --NEW--
New York Life Annuities
NFS (National Financial Services)
Nicholas Family of Funds
Nuveen Advisory
Oakmark Funds
OCM Gold Fund
Old Mutual
OneAmerica Securities
Oppenheimer Funds
Owl Rock
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
Peachtree Hotel Group --NEW--
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
S2K Financial
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
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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