New Accounts - Pershing Submission

Pershing Account - New Submission
Timing and Client Contact Details
Priority:
If urgent is selected, choose a reasonable due date and be sure the correct delivery method is also selected. Communicate with New Business team with any further clarification.
Documents Requested By:

MonthDayYear
Date
Urgency Explained:*
Please explain the reason for urgency. Be clear as to client awareness and client readiness to respond to staff outreach
Delivery Method - be sure delivery method matches client expectations

Email / ElectronicPaper / MailedPaper / Team can invite client to come to office to sign with themPaper / Give docs to Advisor
Any special consideration for this client's signing of docs?
Client Communication - our team will contact the client as needed to fulfill submissions unless NO is selected - CAN THE TEAM CONTACT THE CLIENT?*

YESNO - this submission is for prep only
Communication- any special considerations to manage client communication?:
Rep Details
Primary Representative:*
Servicing/Submitting Representative:*
Will there be a Split Rep/Rep Change?*

YesNO
Secondary Rep in Split:
Split Rep Details or Rep Change Information:
Submission Details
Have you confirmed the following details in Redtail? This submission can not proceed without this info*

Beneficiary Names with dates of birthClient(s) SSNCurrent IncomeCurrent Expenses
What IMPORTANT details can you provide to update client records? (budget, expenses, income...)
Have all persons related to this submission been fully onboarded?*

YESNO
Has Onboarding been formally requested?

YESNO
Explain Onboarding Plan or Status since it will impact the fulfilment of this submission:
If this submission involves funds or accounts that are not managed in house, a statement is required to proceed. Does this submission involve funds or accounts that are NOT managed in house?*

YesNo
Has the statement been collected?

YesNo
Where is the statement?
scanned and emailed to team or saved to client docs, saved to RT or handed to team, or on the wall?...
Please explain when and how the statement will be provided
Account Ownership Details:
Owner Name:*

First NameMiddle NameLast Name
Owner Employment Status:*
Joint Owner Name:

First NameMiddle NameLast Name
Client Investment Experience:
Client Investment Knowledge

NoneLimitedGoodExcellentClient Refused to share
Annual Income:
Net Worth:
Liquid Net Worth:
Annual Living Expenses:
Range of Upcoming Special Expenses:
Time frame of the Special Expenses:
Source of Wealth

Employment IncomeGiftInvestment ProceedsSale of BusinessInheritenceLegal SettlementPension/IRA/Retirement SavingsSpouse or ParentLottery/Gambling ProceedsInsurance ProceedsOther
Account & Investment Details:

Investment Two
Investment 2 - Investment Objective:
Goal Description:
If this submission involves funds or accounts that are not managed in house, a statement is required to proceed. Does this submission involve funds or accounts that are NOT managed in house?*

YesNo
Has the statement been collected?

YesNo
Where is the statement?
scanned and emailed to team or saved to client docs, saved to RT or handed to team, or on the wall?...
Please explain when and how the statement will be provided
Funding Amount:
Funding Source:
Investment Other:
Money Type*
What is the current trail?*
Will this create increased or decreased revenue for the term of the investment?*
What is the annual percent of increase or decrease?*
Risk Tolerance Questionnaire Results:
Account Type:
Non-Q Registration Type:
Qualified Registration Type:
Program:
AMP Fee Schedule:
UMA Model (Level 1):
UMA Model (Level 2):
UMA Model (Level 3):
UMA Model (Level 4):
UMA Model (Level 5):
Rebalancing Frequency:
Dollar Cost Average:
Must invest model MINIMUM $ to start account - DCA applies ONLY funds over minimum
Advisor Fee:
Fee Other:
Notes & Funding Instructions:*
Please be specific regarding the funding of this account.
Submission #2 - Beneficiary Details - do not include SS# or BD for security reasons
Will there be another WMP Investment?

Yes

Investment Three
Investment 3 - Investment Objective:
Goal Description:
Funding Amount:
Funding Source:
Investment Other
Money Type*
What is the current trail?*
Will this create increased or decreased revenue for the term of the investment? *
What is the annual percent of increase or decrease?*
Risk Tolerance Questionnaire Results:
Account Type:
Non-Q Registration Type:
Qualified Registration Type:
Program:
AMP Fee Schedule:
UMA Model (Level 1):
UMA Model (Level 2):
UMA Model (Level 3):
UMA Model (Level 4):
UMA Model (Level 5):
Investment Other:
Rebalancing Frequency:
Dollar Cost Average:
Must invest model MINIMUM $ to start account - DCA applies ONLY funds over minimum
Advisor Fee:
Fee Other:
Notes & Funding Instructions:*
Please be specific regarding the funding of this account.
Submission #3 - Beneficiary Details - do not include SS# or BD for security reasons

Should be Empty:

Pershing Account - New Submission

Timing and Client Contact Details

Rep Details

Submission Details

Account Ownership Details:

Client Investment Experience:

Account & Investment Details:

Employer Sponsored Plan Information

Individual FA Production Tracking

Distributions - IMPORTANT - Please ensure that the client & the team are clear on CURRENT distributions due to change, & NEW distribution details.