Account Opening/Task Form
Client information
On File
Client completing application
Client 1 Name
*
First Name
Last Name
Client 2 Name
First Name
Last Name
How many accounts?
Please Select
Task Only
1
2
3
4
5
Task
Account 1
Rows
Input
Company
Product
Owner
Tax Type
Exchange In 1/$/Contra Firm
Exchange In 2/$/Contra Firm
Exchange In 3/$/Contra Firm
Is a transfer involved?
Yes
No
Is this a life or annuity policy that is replacing another life/annuity policy?
Yes
No
Is the transfer ACAT or Non-ACAT
ACAT
Non-ACAT
Account 2
Rows
Input
Company
Product
Owner
Tax Type
Exchange In 1/$/Contra Firm
Exchange In 2/$/Contra Firm
Exchange In 3/$/Contra Firm
Is this a life or annuity policy that is replacing another life/annuity policy?
Yes
No
Is a transfer involved?
Yes
No
Is the transfer ACAT or Non-ACAT
ACAT
Non-ACAT
Account 3
Rows
Input
Company
Product
Owner
Tax Type
Exchange In 1/$/Contra Firm
Exchange In 2/$/Contra Firm
Exchange In 3/$/Contra Firm
Is a transfer involved?
Yes
No
Is this a life or annuity policy that is replacing another life/annuity policy?
Yes
No
Is the transfer ACAT or Non-ACAT
ACAT
Non-ACAT
Account 4
Rows
Input
Company
Product
Owner
Tax Type
Exchange In 1/$/Contra Firm
Exchange In 2/$/Contra Firm
Exchange In 3/$/Contra Firm
Is a transfer involved?
Yes
No
Is this a life or annuity policy that is replacing another life/annuity policy?
Yes
No
Is the transfer ACAT or Non-ACAT
ACAT
Non-ACAT
Account 5
Rows
Input
Company
Product
Owner
Tax Type
Exchange In 1/$/Contra Firm
Exchange In 2/$/Contra Firm
Exchange In 3/$/Contra Firm
Is a transfer involved?
Yes
No
Is this a life or annuity policy that is replacing another life/annuity policy?
Yes
No
Is the transfer ACAT or Non-ACAT
ACAT
Non-ACAT
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
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