Woodbury Financial Services, Inc Online Forms Library

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Woodbury Financial Services, Inc
Affidavit of Residence
This form is used to verify where a deceased person resided at the time of death.
Lit No: 101802
Revised: 03/01/2012
Form ID: 3320
Publish: 04/25/2016
Details
Woodbury Financial Services, Inc
Commission Processing Elections
Commission Processing Elections
Lit No: 95850
Revised: 08/15/2013
Form ID: 3339
Publish: 08/16/2013
Details
Woodbury Financial Services, Inc
Registered Rep Correspondence Transmittal
Lit No: 100558
Revised: 04/10/2012
Form ID: 3342
Publish: 04/11/2012
Details
Woodbury Financial Services, Inc
Minnesota Financial Planner Disclosure Form
Lit No: 102181
Revised: 06/26/2012
Form ID: 5679
Publish: 08/10/2012
Details
Woodbury Financial Services, Inc
Trust Certification of Investment Powers
Lit No:
Revised: 07/01/2015
Form ID: 7058
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
Signature Guarantee Certification
Use for requesting that a document be Medallion Signature Guaranteed.
Lit No: 102509
Revised: 10/01/2017
Form ID: 7607
Publish: 11/01/2017
Details
Woodbury Financial Services, Inc
Mutual Fund & 529 Savings Plan Suitability Form
Lit No: 102552
Revised: 04/26/2013
Form ID: 8843
Publish: 04/30/2013
Details
Woodbury Financial Services, Inc
Alternative Investment Suitability Form
Alternative Investment Suitability Form
Lit No: 102617
Revised: 05/01/2016
Form ID: 10270
Publish: 05/17/2016
Details
Woodbury Financial Services, Inc
1031 Exchange Program Disclosure
Lit No: 102583
Revised: 12/10/2012
Form ID: 10271
Publish: 12/14/2012
Details
Woodbury Financial Services, Inc
IAR Application for RIA Affiliation
Lit No: 102811
Revised: 11/01/2011
Form ID: 16268
Publish: 04/26/2016
Details
Woodbury Financial Services, Inc
Account Reassignment Request
Use this form to request a reassigment of accounts between Woodbury Representatives or to the Woodbury House account.
Lit No: 102995
Revised: 04/16/2014
Form ID: 25300
Publish: 05/13/2016
Details
Woodbury Financial Services, Inc
Receipt - Credit Card Payment
Receipt - Credit Card Payment of Financial Planning Fee
Lit No: 103036
Revised: 02/01/2012
Form ID: 26454
Publish: 03/11/2016
Details
Woodbury Financial Services, Inc
Letter of Indemnity Request
Letter of Indemnity or Trade-Related Correction Request
Lit No: 102990
Revised: 04/01/2014
Form ID: 31587
Publish: 04/05/2017
Details
Woodbury Financial Services, Inc
Municipal Bond Form
Lit No: 103224
Revised: 10/01/2016
Form ID: 31639
Publish: 10/31/2016
Details
Woodbury Financial Services, Inc
Account Application - Entity (Client Central)
This worksheet is used to collect data related to opening a new account via Client Central.
Lit No: WFS-AA-EN
Revised: 05/01/2018
Form ID: 32537
Publish: 05/04/2018
Details
Woodbury Financial Services, Inc
Account Application - Company Retirement Plan
This worksheet is used to collect data related to opening a new account via Client Central.
Lit No: WFS-AA-CRP
Revised: 07/01/2017
Form ID: 32538
Publish: 07/11/2017
Details
Woodbury Financial Services, Inc
Client Signature Page
Lit No: WFS Client Signature Page
Revised: 05/01/2018
Form ID: 32540
Publish: 04/27/2018
Details
Woodbury Financial Services, Inc
Client Agreement
This is the Client Agreement (also known as the Customer Agreement) for clients utilizing Pershing as custodian.
Lit No: WFS Customer Agreement
Revised: 01/22/2018
Form ID: 32541
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
Client Application - Trust
This worksheet is used to collect data related to creating a new client record via Client Central.
Lit No: WFS-CA-TR
Revised: 05/01/2018
Form ID: 32542
Publish: 05/31/2018
Details
Woodbury Financial Services, Inc
Client Application - Person (Client Central)
This worksheet is used to collect data related to creating a new client record via Client Central.
Lit No: WFS-CA-NP
Revised: 01/22/2018
Form ID: 32543
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
Client Application - Estate
This worksheet is used to collect data related to creating a new client record via Client Central.
Lit No: WFS-CA-ES
Revised: 01/22/2018
Form ID: 32544
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
Client Application - Entity (Client Central)
This worksheet is used to collect data related to creating a new client record via Client Central.
Lit No: WFS-CA-EN
Revised: 05/01/2018
Form ID: 32545
Publish: 05/04/2018
Details
Woodbury Financial Services, Inc
Client Application - Company Retirement Plan
This worksheet is used to collect data related to creating a new client record via Client Central.
Lit No: WFS-CA-CRP
Revised: 01/22/2018
Form ID: 32546
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
Account Application - Trust
This worksheet is used to collect data related to opening a new account via Client Central.
Lit No: WFS-AA-TR
Revised: 05/01/2018
Form ID: 32547
Publish: 05/04/2018
Details
Woodbury Financial Services, Inc
Account Application - Person (Client Central)
This worksheet is used to collect data related to opening a new account via Client Central.
Lit No: WFS-AA-NP
Revised: 01/22/2018
Form ID: 32548
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
Account Application - Estate
This worksheet is used to collect data related to opening a new account via Client Central.
Lit No: WFS-AA-ES
Revised: 07/01/2017
Form ID: 32549
Publish: 07/11/2017
Details
Woodbury Financial Services, Inc
Persons to Explain Records
Lit No: 102013
Revised: 01/01/1900
Form ID: 33088
Publish: 06/13/2013
Details
Woodbury Financial Services, Inc
Retirement Income Fact Finder
Lit No: 103066
Revised: 09/01/2016
Form ID: 33263
Publish: 09/12/2016
Details
Woodbury Financial Services, Inc
IA Overlay (Corporate) - Investment Advisory Svcs
Investment Advisory Agreement for Third Party Money Managers for accounts under a Corporate RIA.
Lit No: WFS 2013.1 Corp-TPMM
Revised: 07/17/2013
Form ID: 33638
Publish: 07/26/2013
Details
Woodbury Financial Services, Inc
Margin/Option Agreement
Use this form to request Margin or Option account features for accounts held at Pershing.
Lit No: Margin/Option Agreement 11/2013
Revised: 01/01/1900
Form ID: 34595
Publish: 06/21/2018
Details
Woodbury Financial Services, Inc
Request & Authorization to Disclose Customer Inf
Request and Authorization to Disclose Customer Information
Lit No: 103258
Revised: 11/24/2014
Form ID: 34678
Publish: 07/07/2016
Details
Woodbury Financial Services, Inc
Third Party Check Request (Pershing)
Lit No: Third Party Check Request-Rev 01/2014
Revised: 01/01/2014
Form ID: 35049
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
Retail Brokerage Journal Request
Lit No: Retail Brokerage Journal Reqeust Rev 01/2014
Revised: 01/01/1900
Form ID: 35050
Publish: 11/04/2016
Details
Woodbury Financial Services, Inc
Outgoing Federal Fund Wire Request
Lit No: Outgoing Federal Fund Wire Request – REV 01/2014
Revised: 01/01/1900
Form ID: 35051
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
UTMA/UGMA Asset Transfer Request
Lit No: UTMA/UGMA Asset Transer Request - REV 06/2012
Revised: 01/01/2016
Form ID: 35108
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
Variable Annuity Surrender Form
Lit No: 103275
Revised: 02/28/2014
Form ID: 35674
Publish: 06/01/2016
Details
Woodbury Financial Services, Inc
Sweep Program Terms & Conditions
For Pershing clients only.
Lit No:
Revised: 06/01/2017
Form ID: 35721
Publish: 05/31/2017
Details
Woodbury Financial Services, Inc
Financial Planning Program Guide
Lit No: 103264
Revised: 04/01/2018
Form ID: 35774
Publish: 05/02/2018
Details
Woodbury Financial Services, Inc
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: 36624
Publish: 02/21/2018
Details
Woodbury Financial Services, Inc
SIS - Wrap - Corporate RIA
Statement of Investment Selection (SIS) for Advisor Managed Portfolio (AMP) Wrap accounts under a Corporate RIA.
Lit No: SIS Corporate RIA Wrap for AMP
Revised: 04/01/2018
Form ID: 37170
Publish: 05/08/2018
Details
Woodbury Financial Services, Inc
SIS - Model Portfolios - Independent RIA
Statement of Investment Selection (SIS) for Model Portfolio accounts under an Independent RIA.
Lit No: SIS for Independent RIA
Revised: 09/01/2018
Form ID: 37349
Publish: 09/19/2018
Details
Woodbury Financial Services, Inc
SIS - Model Portfolios - Corporate RIA
Statement of Investment Selection (SIS) for Model Portfolio accounts under a Corporate RIA.
Lit No: SIS Corporate RIA
Revised: 09/01/2018
Form ID: 37350
Publish: 09/19/2018
Details
Woodbury Financial Services, Inc
SIS - Non-Wrap - Corporate RIA
Statement of Investment Selection (SIS) for Advisor Managed Portfolio (AMP) Non-Wrap accounts under a Corporate RIA.
Lit No: SIS Corp Non Wrap
Revised: 04/01/2018
Form ID: 37420
Publish: 05/08/2018
Details
Woodbury Financial Services, Inc
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: 37464
Publish: 08/18/2017
Details
Woodbury Financial Services, Inc
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: ACH Authorization - One and the Same REV 09/2013
Revised: 05/01/2015
Form ID: 38227
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
Non-Brokerage Change Request
Use this form to facilitate changes to the Registered Representative or Broker/Dealer at a sponsor company.
Lit No: Non-Brokerage Change Request Rev 082014
Revised: 04/01/2017
Form ID: 38318
Publish: 03/27/2017
Details
Woodbury Financial Services, Inc
Advisory Service Brochure
Form ADV Part 2A
Lit No: WFS IA Brochure 2018.4
Revised: 08/01/2018
Form ID: 38897
Publish: 08/20/2018
Details
Woodbury Financial Services, Inc
WMP QPR Electronic Delivery Consent Form/Agreement
Consent agreement for electronic delivery of Wealth Management Platform (WMP) quarterly performance reports (QPRs).
Lit No:
Revised: 06/04/2015
Form ID: 41854
Publish: 04/01/2016
Details
Woodbury Financial Services, Inc
Advisor Managed Portfolios Appendix 1
Lit No:
Revised: 03/30/2018
Form ID: 47436
Publish: 04/05/2018
Details
Woodbury Financial Services, Inc
Advisor Managed Portfolios(AMP) Account Review
Lit No: 102752
Revised: 03/30/2018
Form ID: 47437
Publish: 03/21/2016
Details
Woodbury Financial Services, Inc
Affidavit of Full Force and Effect
Affidavit as to the Power of Attorney being in full force and effect.
Lit No:
Revised: 02/01/2014
Form ID: 47438
Publish: 03/14/2016
Details
Woodbury Financial Services, Inc
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: 47439
Publish: 03/15/2016
Details
Woodbury Financial Services, Inc
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: 47440
Publish: 03/09/2017
Details
Woodbury Financial Services, Inc
Broker's Letter 144 Example
Lit No:
Revised: 03/01/2016
Form ID: 47441
Publish: 03/15/2016
Details
Woodbury Financial Services, Inc
Broker's Letter 144b Example
Lit No:
Revised: 03/01/2016
Form ID: 47442
Publish: 03/15/2016
Details
Woodbury Financial Services, Inc
Commission Adjustment Request
Lit No: 108210
Revised: 05/01/2013
Form ID: 47443
Publish: 03/22/2016
Details
Woodbury Financial Services, Inc
C-RIA Authorization
to Redirect Prospectus Delivery to Financial Advisor
Lit No:
Revised: 02/01/2015
Form ID: 47444
Publish: 03/11/2016
Details
Woodbury Financial Services, Inc
Distribution Change Disclosure Letter
Lit No:
Revised: 03/01/2016
Form ID: 47445
Publish: 03/11/2016
Details
Woodbury Financial Services, Inc
Exhibit A - Financial Planning Client Services Agm
Lit No:
Revised: 09/01/2013
Form ID: 47446
Publish: 03/24/2016
Details
Woodbury Financial Services, Inc
Exhibit B- Billing Invoice
Lit No:
Revised: 06/26/2018
Form ID: 47447
Publish: 07/05/2018
Details
Woodbury Financial Services, Inc
Exhibit C - LOA for Financial planning Services
Lit No:
Revised: 06/26/2018
Form ID: 47448
Publish: 07/05/2018
Details
Woodbury Financial Services, Inc
Exhibit D - Financial Planning Remittance
Lit No:
Revised: 06/26/2018
Form ID: 47449
Publish: 07/05/2018
Details
Woodbury Financial Services, Inc
Exhibit E - Financial Planning Hourly Fee Blotter
Lit No:
Revised: 09/01/2013
Form ID: 47450
Publish: 03/24/2016
Details
Woodbury Financial Services, Inc
Financial Networking Agreement
Lit No: 10652529.5
Revised: 03/01/2016
Form ID: 47451
Publish: 03/14/2016
Details
Woodbury Financial Services, Inc
Independent RIA Variable Annuity Client Agreement
Lit No:
Revised: 12/01/2011
Form ID: 47452
Publish: 03/23/2016
Details
Woodbury Financial Services, Inc
I-RIA Auth to Redirect Prospectus Delivery
RIA Authorization to redirect prospectus delivery to the Financial Advisor.
Lit No:
Revised: 02/01/2014
Form ID: 47454
Publish: 03/16/2016
Details
Woodbury Financial Services, Inc
Irrevocable Stock or Bond Power (Pershing)
Lit No:
Revised: 03/01/2016
Form ID: 47455
Publish: 03/16/2016
Details
Woodbury Financial Services, Inc
Leveraged & Inverse ETF & Mutual Fund Client Ack.
Lit No:
Revised: 11/01/2014
Form ID: 47456
Publish: 03/16/2016
Details
Woodbury Financial Services, Inc
Multi-day Holding Period Suitability Doc
Leveraged or Inverse ETF (LETF)
Lit No:
Revised: 03/01/2016
Form ID: 47457
Publish: 03/29/2016
Details
Woodbury Financial Services, Inc
Limited Trading Authorization
Lit No:
Revised: 09/01/2014
Form ID: 47458
Publish: 03/11/2016
Details
Woodbury Financial Services, Inc
Model Portfolios Appendix 1
Lit No:
Revised: 03/30/2018
Form ID: 47461
Publish: 04/05/2018
Details
Woodbury Financial Services, Inc
Municipal Entity Brokerage Account Certification
Lit No:
Revised: 06/01/2017
Form ID: 47462
Publish: 06/15/2017
Details
Woodbury Financial Services, Inc
Oil and Gas Attestation
Lit No: AG-Rev
Revised: 11/01/2016
Form ID: 47463
Publish: 12/02/2016
Details
Woodbury Financial Services, Inc
Pershing Mutual Fund Consolidation - Retail
Lit No: RPD150-ACAT
Revised: 05/01/2012
Form ID: 47464
Publish: 03/11/2016
Details
Woodbury Financial Services, Inc
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: 05/01/2014
Form ID: 47465
Publish: 03/11/2016
Details
Woodbury Financial Services, Inc
Roth Conversion Recharacterization Request
Pershing
Lit No:
Revised: 06/01/2015
Form ID: 47466
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
Schedule A - Financial Planning Services
to be Performed
Lit No:
Revised: 09/01/2013
Form ID: 47467
Publish: 03/11/2016
Details
Woodbury Financial Services, Inc
SMA UMA Appendix 1
Lit No:
Revised: 03/30/2018
Form ID: 47468
Publish: 04/05/2018
Details
Woodbury Financial Services, Inc
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: 47469
Publish: 04/20/2018
Details
Woodbury Financial Services, Inc
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: 47470
Publish: 04/20/2018
Details
Woodbury Financial Services, Inc
Systematic Withdrawal Authorization
Lit No:
Revised: 04/01/2014
Form ID: 47472
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
3rd Party Money Manager Client Agreement
Lit No:
Revised: 07/01/2013
Form ID: 47473
Publish: 03/21/2016
Details
Woodbury Financial Services, Inc
Transition Non Brokerage Change Request
For use by new advisors utilizing Transition services only.
Lit No:
Revised: 03/01/2016
Form ID: 47474
Publish: 09/30/2016
Details
Woodbury Financial Services, Inc
Electronic Delivery (Email) Agreement and Consent
Lit No:
Revised: 01/01/2016
Form ID: 47830
Publish: 03/23/2016
Details
Woodbury Financial Services, Inc
Non-Traded Closed-End Fund/Pfd. Stock Pre-Approval
Non Traded Preferred Stock Warrant
Lit No: AG-CAP
Revised: 04/17/2018
Form ID: 47925
Publish: 05/02/2018
Details
Woodbury Financial Services, Inc
Marketing Name Request
Lit No:
Revised: 09/28/2015
Form ID: 47947
Publish: 03/30/2016
Details
Woodbury Financial Services, Inc
Letter of Non-Solicitation - Non-Listed Equities
Lit No:
Revised: 04/01/2015
Form ID: 47948
Publish: 03/30/2016
Details
Woodbury Financial Services, Inc
Pershing Mutual Fund Consolidation - Retirement
Lit No:
Revised: 05/01/2012
Form ID: 47959
Publish: 03/31/2016
Details
Woodbury Financial Services, Inc
WMP Electronic Delivery Email Consent
Lit No:
Revised: 02/01/2014
Form ID: 47971
Publish: 04/01/2016
Details
Woodbury Financial Services, Inc
Power of Attorney with Durable Provision
Lit No:
Revised: 05/01/2016
Form ID: 48684
Publish: 05/03/2016
Details
Woodbury Financial Services, Inc
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: 48794
Publish: 07/17/2017
Details
Woodbury Financial Services, Inc
Additional Client Signature Page
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: 05/01/2018
Form ID: 49852
Publish: 04/27/2018
Details
Woodbury Financial Services, Inc
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: 49988
Publish: 07/21/2016
Details
Woodbury Financial Services, Inc
Investment Transfer Form
Lit No:
Revised: 07/01/2010
Form ID: 50171
Publish: 07/22/2016
Details
Woodbury Financial Services, Inc
Variable Annuity Share Class Disclosure
Variable Annuity Share Class Disclosure and Acknowledgement form
Lit No:
Revised: 10/01/2015
Form ID: 50295
Publish: 07/29/2016
Details
Woodbury Financial Services, Inc
Risk Tolerance Questionnaire (RTQ)
Lit No:
Revised: 04/01/2018
Form ID: 50708
Publish: 04/20/2018
Details
Woodbury Financial Services, Inc
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:
Revised: 07/01/2015
Form ID: 50789
Publish: 09/21/2017
Details
Woodbury Financial Services, Inc
Media Appearance Acknowledgement
Lit No:
Revised: 09/02/2016
Form ID: 51208
Publish: 09/15/2016
Details
Woodbury Financial Services, Inc
Sales Letter 144 Example
Lit No:
Revised: 10/01/2016
Form ID: 51338
Publish: 10/04/2016
Details
Woodbury Financial Services, Inc
Certificate of Sole Proprietorship
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: 51388
Publish: 10/04/2016
Details
Woodbury Financial Services, Inc
Sales Removal Letter 144K Example
Lit No:
Revised: 10/01/2016
Form ID: 51389
Publish: 10/04/2016
Details
Woodbury Financial Services, Inc
Sales Letter 701 Example
Lit No:
Revised: 10/01/2016
Form ID: 51390
Publish: 10/04/2016
Details
Woodbury Financial Services, Inc
Sales Letter 145 Example
Lit No:
Revised: 10/01/2016
Form ID: 51391
Publish: 10/04/2016
Details
Woodbury Financial Services, Inc
Sales Letter 144K Example
Lit No:
Revised: 10/01/2016
Form ID: 51392
Publish: 10/04/2016
Details
Woodbury Financial Services, Inc
Investment Club Account Agreement
Lit No:
Revised: 10/01/2016
Form ID: 51658
Publish: 10/19/2016
Details
Woodbury Financial Services, Inc
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: 51692
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
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: 51694
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
Margin Disclosure
Lit No:
Revised: 10/01/2016
Form ID: 51829
Publish: 10/31/2016
Details
Woodbury Financial Services, Inc
Prospectus Delivery Log
Lit No:
Revised: 11/01/2016
Form ID: 52132
Publish: 11/23/2016
Details
Woodbury Financial Services, Inc
Non-Solicitation Letter Non-Investment Grade Bonds
Lit No: 103290S
Revised: 11/01/2016
Form ID: 52198
Publish: 12/06/2016
Details
Woodbury Financial Services, Inc
FINRA Rule 2273 Disclosure
Lit No:
Revised: 01/01/2017
Form ID: 53572
Publish: 01/23/2017
Details
Woodbury Financial Services, Inc
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: 54295
Publish: 05/04/2018
Details
Woodbury Financial Services, Inc
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: 54296
Publish: 04/28/2017
Details
Woodbury Financial Services, Inc
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: 55240
Publish: 11/06/2017
Details
Woodbury Financial Services, Inc
FLS Guide to Approving Inactive Alerts in Account
Lit No: FSC-2FLS-AIA-0417
Revised: 04/01/2017
Form ID: 55534
Publish: 04/13/2017
Details
Woodbury Financial Services, Inc
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: WFS-2-PP-IRA-TD-0318
Revised: 03/01/2018
Form ID: 56509
Publish: 04/03/2018
Details
Woodbury Financial Services, Inc
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: WFS-2-IRA-RPA-TD-0318
Revised: 03/01/2018
Form ID: 56513
Publish: 04/03/2018
Details
Woodbury Financial Services, Inc
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: WFS-2-IRA-IRA-TD-0318
Revised: 03/01/2018
Form ID: 56517
Publish: 04/03/2018
Details
Woodbury Financial Services, Inc
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: WFS-2-ERISA-TD-0318
Revised: 03/01/2018
Form ID: 56521
Publish: 04/03/2018
Details
Woodbury Financial Services, Inc
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 her ERISA plan account to an IRA.
Lit No: WFS-2-ERISA-IRA-TD-0318
Revised: 03/01/2018
Form ID: 56525
Publish: 08/30/2018
Details
Woodbury Financial Services, Inc
RPCS Level Commission Agreement-Trustee Direct
Client Services Agreement Fiduciary/Level Commission Schedule
Lit No: V.1 WBF RPCS FID.LEV.COMM.4.4.18
Revised: 04/04/2018
Form ID: 56546
Publish: 04/13/2018
Details
Woodbury Financial Services, Inc
RPCS Level Commission Agreement-Participant Direct
Client Services Agreement Fiduciary/Level Commission Schedule
Lit No: V,4 WBF RPCS FID.LEV.COMM.10.15.17
Revised: 10/15/2017
Form ID: 56550
Publish: 06/28/2018
Details
Woodbury Financial Services, Inc
RPCS Advisory Fee Agreement-Trustee Directed
Client Services Agreement Fiduciary/Fee Schedule
Lit No: V.1.WBF.RPCS.FID.ADV.FEE.4.4.18
Revised: 04/04/2018
Form ID: 56554
Publish: 04/13/2018
Details
Woodbury Financial Services, Inc
RPCS Advisory Fee Agreement-Participant Directed
Client Services Agreement Fiduciary/Fee Schedule
Lit No: V.4 WBF RPCS FID.ADV.FEE.10.15.17
Revised: 10/15/2017
Form ID: 56558
Publish: 11/29/2017
Details
Woodbury Financial Services, Inc
WFS SMA/UMA Client Agreement
Lit No:
Revised: 03/30/2018
Form ID: 56579
Publish: 04/05/2018
Details
Woodbury Financial Services, Inc
WFS AMP Client Agreement
Lit No:
Revised: 03/30/2018
Form ID: 56580
Publish: 04/05/2018
Details
Woodbury Financial Services, Inc
WFS MPP Client Agreement
Lit No: 10/27/2017
Revised: 03/30/2018
Form ID: 56581
Publish: 04/05/2018
Details
Woodbury Financial Services, Inc
California Home Visit Disclosure WFS
Lit No: CA 789.10
Revised: 06/01/2017
Form ID: 56766
Publish: 06/16/2017
Details
Woodbury Financial Services, Inc
NDIA Services Remittance
Lit No: Remittance Form
Revised: 06/26/2018
Form ID: 57309
Publish: 07/05/2018
Details
Woodbury Financial Services, Inc
NDIA IA Services - Addendum A
Lit No: Addendum A
Revised: 07/01/2017
Form ID: 57310
Publish: 07/21/2017
Details
Woodbury Financial Services, Inc
NDIA IA Services - Addendum B
Lit No: Addendum B
Revised: 07/01/2017
Form ID: 57311
Publish: 07/21/2017
Details
Woodbury Financial Services, Inc
NDIA Services Billing Invoice
Lit No:
Revised: 06/26/2018
Form ID: 57312
Publish: 07/05/2018
Details
Woodbury Financial Services, Inc
NDIA Hourly Fee Blotter
Lit No:
Revised: 07/01/2017
Form ID: 57313
Publish: 07/21/2017
Details
Woodbury Financial Services, Inc
NDIA LOA Payment of Non-Discretionary IA Services
Lit No:
Revised: 06/26/2018
Form ID: 57314
Publish: 07/05/2018
Details
Woodbury Financial Services, Inc
NDIA Services Guide
Lit No: Vol 1
Revised: 07/01/2017
Form ID: 57315
Publish: 07/21/2017
Details
Woodbury Financial Services, Inc
NDIA Client Services Agreement
Lit No:
Revised: 12/01/2017
Form ID: 57316
Publish: 01/04/2018
Details
Woodbury Financial Services, Inc
ERISA Establish Kit Part-Directed Adv. Fee
Lit No: AG-2-ERISA-PB-ARL
Revised: 10/15/2017
Form ID: 57537
Publish: 03/21/2018
Details
Woodbury Financial Services, Inc
ERISA Establish Kit Trustee-Directed Fee
Lit No: AG-2-ERISA-PB-ARL
Revised: 04/01/2018
Form ID: 57538
Publish: 04/16/2018
Details
Woodbury Financial Services, Inc
ERISA Establish Kit Trustee-Directed Level
Lit No: AG-2-ERISA-PB-ARL
Revised: 04/04/2018
Form ID: 57539
Publish: 04/16/2018
Details
Woodbury Financial Services, Inc
ERISA Establish Kit Part-Directed Level
Lit No: AG-2-ERISA-PB-ARL
Revised: 10/15/2017
Form ID: 57540
Publish: 03/21/2018
Details
Woodbury Financial Services, Inc
ERISA Plan New Relationship Set up
Lit No: AG-2-ERISA-PB-ARL
Revised: 10/15/2017
Form ID: 57541
Publish: 03/26/2018
Details
Woodbury Financial Services, Inc
Political Contribution Pre-Approval Request
Lit No: 17-0221
Revised: 08/01/2017
Form ID: 58156
Publish: 08/21/2017
Details
Woodbury Financial Services, Inc
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: 58967
Publish: 10/12/2017
Details
Woodbury Financial Services, Inc
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: 58971
Publish: 06/19/2018
Details
Woodbury Financial Services, Inc
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: 59390
Publish: 01/04/2018
Details
Woodbury Financial Services, Inc
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: 59391
Publish: 01/19/2018
Details
Woodbury Financial Services, Inc
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: 61210
Publish: 08/10/2018
Details
Woodbury Financial Services, Inc
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: 61214
Publish: 08/10/2018
Details
Woodbury Financial Services, Inc
Non-Corporate Resolution
Lit No: FRM-NONCORP-RES-02-15
Revised: 02/01/2015
Form ID: 61575
Publish: 03/29/2018
Details
Woodbury Financial Services, Inc
Corporate IAR Request
Lit No:
Revised: 04/01/2018
Form ID: 61919
Publish: 05/02/2018
Details
Woodbury Financial Services, Inc
Acknowledgement of Breakpoint Waiver Form
Lit No: 18-0396
Revised: 04/01/2018
Form ID: 62156
Publish: 05/04/2018
Details
Woodbury Financial Services, Inc
Wealth Strategies Program Appendix 1
Lit No: Brochure 2018.1
Revised: 08/03/2018
Form ID: 62511
Publish: 08/20/2018
Details
Woodbury Financial Services, Inc
Advisor Practice Review Workbook
Lit No: AG-1-APRW
Revised: 06/10/2018
Form ID: 63420
Publish: 08/06/2018
Details
Woodbury Financial Services, Inc
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: 63455
Publish: 08/27/2018
Details
Woodbury Financial Services, Inc
Special Private Placement Pre-Approval Packet
Lit No:
Revised: 08/01/2018
Form ID: 63825
Publish: 09/05/2018
Details
Woodbury Financial Services, Inc
Cyber Incident
Lit No:
Revised: 09/01/2018
Form ID: 63938
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 --NEW--
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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