Account Opening Form
Client information
On File
Client completing application
Client 1 Name
*
First Name
Last Name
Client 2 Name
First Name
Last Name
Task
Account 1
Rows
Input
Transfer Type
ACAT/Non ACAT
Company
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Product
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Owner
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Tax Type
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 1/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 2/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 3/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Is this an life or annuity policy that is replacing another life/annuity policy?
Yes
No
Account 2
Rows
Input
Transfer Type
ACAT/Non ACAT
Company
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Product
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Owner
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Tax Type
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 1/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 2/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 3/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Is this an life or annuity policy that is replacing another life/annuity policy?
Yes
No
Account 3
Rows
Input
Transfer Type
ACAT/Non ACAT
Company
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Product
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Owner
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Tax Type
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 1/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 2/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 3/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Is this an life or annuity policy that is replacing another life/annuity policy?
Yes
No
Account 4
Rows
Input
Transfer Type
ACAT/Non ACAT
Company
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Product
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Owner
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Tax Type
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 1/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 2/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Exchange In 3/$/Contra Firm
Rollover
Transfer
1035 Exchange
Check
Wire
Other
ACAT
NonACAT
Is this an life or annuity policy that is replacing another life/annuity policy?
Yes
No
Client Profile
Rows
Value
Annual Income
Annual Expenses
Stocks/Bonds
Annuities (out of surrender)
Mutual Funds
CDs
Checking
Pension/401k (under/over 59.5)
Cash Surrender (life insurance)
Real Estate
Annuities (in surrender)
Financial Experience (401k, MFs, Annuities(if applicable), CDs)
Tax Bracket
Filing Status
Risk Tolerance (use for KYC for AUM clients, low for annuities)
Replacement justification for annuities
Notes
Let it Rip
Should be Empty: