Pershing Account - New Submission
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Normal
Urgent
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New Accounts Team - Client Communication
Prep App ONLY - No client communication at this time
Rep Information:
Primary Representative:
Please Select
brianna@clearstrategyteam.com
devin@clearstrategyteam.com
dom@clearstrategyteam.com
elijah@clearstrategyteam.com
eric@clearstrategyteam.com
jharris@clearstrategyteam.com
mark@clearstrategyteam.com
mary@clearstrategyteam.com
nick@clearstrategyteam.com
paul@clearstrategyteam.com
tj@clearstrategyteam.com
todd@clearstrategyteam.com
tracy@clearstrategyteam.com
Servicing / Submitting Representative:
Please Select
brianna@clearstrategyteam.com
devin@clearstrategyteam.com
dom@clearstrategyteam.com
elijah@clearstrategyteam.com
eric@clearstrategyteam.com
jharris@clearstrategyteam.com
mark@clearstrategyteam.com
mary@clearstrategyteam.com
nick@clearstrategyteam.com
paul@clearstrategyteam.com
tj@clearstrategyteam.com
todd@clearstrategyteam.com
tracy@clearstrategyteam.com
Will there be a Split Rep or Rep Change?
Yes
Split Rep or Rep Change Information:
Account Owner:
Owner Name:
First Name
Middle Name
Last Name
Owner Employment Status:
*
Please Select
Employed
Self-Employed
Unemployed
Retired
Joint Owner Name:
First Name
Middle Name
Last Name
Investment Experience:
Annual Income:
Net Worth:
Liquid Net Worth:
Annual Expenses:
Please Select
$0 - $25,000
$25,001 - $50,000
$50,001 - $75,000
$75,000 - $100,000
$100,001 - $250,000
$250,001 - $500,000
Over $500,001
Range of Special Expenses:
Please Select
$0 - $25,000
$25,001 - $50,000
$50,001 - $75,000
$75,000 - $100,000
$100,001 - $250,000
$250,001 - $500,000
Over $500,001
Time frame of the Special Expenses:
Please Select
N/A
Within 2 Years
3 - 5 Years
6 - 10 Years
Over 10 Years
Account & Investment Details:
Investment
1 - Investment Objective:
Please Select
Retirement
Education Savings
General Income
General Investing
Goal Description:
- Client Facing Account Name
Funding Amount:
*
Funding Source:
Please Select
NEW Account - Transfer
NEW Account - Check Deposit
NEW Account - Death Claim Funding
EXISTING Account - Death Claim Funding
Additional Contribution to Existing Account
Other - See Funding Instructions
Risk Tolerance Questionnaire Results:
Please Select
Risk Level 1
Risk Level 2
Risk Level 3
Risk Level 4
Risk Level 5
Account Type:
Please Select
Non-Qualified
Qualified
Non-Q Registration Type:
Please Select
Individual
Joint
UGMA
529 Plan
Trust
Qualified Registration Type:
Please Select
Solo 401k
Traditional IRA
Inherited IRA
Roth IRA
Inherited Roth IRA
Rollover IRA
SEP IRA
Simple IRA
Program:
Please Select
Brokerage
WMP - UMA
WMP - AMP
SEI
DirectChoice
AMP Fee Schedule:
Please Select
WRAP Fee (No Trade Charges, Higher Client Fee)
Client Pays Trade Charges
UMA Models:
Please Select
1.1 (Q2 24') - Cap Preservation - $5,500 Min
1.2N (Q2 24') - Cap Preservation - $25k Min
1.2Q (Q2 24') - Cap Preservation - $25k Min
2.1 (Q2 24') - Current Income - $5,500 Min
2.2N (Q2 24') - Current Income - $25k Min
2.2Q (Q2 24') - Current Income - $25k Min
3.1 (Q2 24') - Balanced - $5,500 Min
3.2N (Q2 24') - Balanced - $25k Min
3.2Q (Q2 24') - Balanced - $25k Min
4.1 (Q2 24') - Cap Growth - $5,500 Min
4.2N (Q2 24') - Cap Growth - $25k Min
4.2Q (Q2 24') - Cap Growth - $25k Min
5.1 (Q2 24') - Max Growth - $5,500 Min
5.2N (Q2 24') - Max Growth - $30k Min
5.2Q (Q2 24") - Max Growth - $30k Min
5.3 - Geneva Small Cap - $60k Min
5.4N (Q2 24') - All Stock Portfolio - $120k Min
5.4Q (Q2 24') - All Stock Portfolio - $120k Min
RightBridge Wizard:
Is the client retired?
Yes
No
How is this account being funded? Select all that apply:
Cash
Brokerage Account
Annuity
401k/403b/etc
Do you know the name of their plan?
Yes
No
Plan name of 401k/403b/etc:
Employer Sponsored Plan Information
Does the client have access to their Form 404(a)(5) ?
Yes
No
Fund Fee (%)
Admin Fee (%)
Account Features
Is the client currently employed at this company?
*
Yes
No
How much access does the plan provide?
*
No Access
Computer Advice
Phone Advice
Computer & Phone
Personal Advice
Which best describes the company's size?
*
Smaller (1-49 empls)
Midsized (50-199 empls)
Larger (200-999 empls)
Enterprise (1000+ empls)
Total amount of loans against the plan? ($)
Percentage of assets in company stock?
Is the client satisfied with plan investment options?
*
Yes
No
Does the plan offer other insurance products as a benefit?
*
Yes
No
Does the plan offer a self-directed option?
*
Yes
No
Does the plan offer life insurance as a benefit?
*
Yes
No
Would the client like to consider a cashout?
*
Yes
No
Social Security (monthly) $:
*
Pension (monthly) $:
Spouse - Social Security (monthly) $:
Spouse - Pension (monthly) $:
Cost & Investment Options - What is the client's preference regarding the cost of the program and the flexibility to change fund families without incurring potential fees?
*
Please Select
N/A - Non-Q Assets
Lowest cost is more important than flexibility
Wants to balance cost and flexibility
Willing to incur costs for increased flexibility
Investment Management Strategy - What investment style does the client prefer?
*
Please Select
N/A - Non-Q Assets
Prefers a hands-on direct approach to investing that may or may not involve managed assets.
Prefers a higher level of oversight beyond the fund managers, including fund screening and control over fund reallocation.
Prefers investments with an internal fund manager that can actively make portfolio changes.
Select Funds - Please indicate if you would like to allocate a percentage or amount:
*
Percentage (%)
Amount ($)
N/A - Non-Q Assets
Allocation Details:
Other Household Holdings - Enter other household holdings related to this investment. Enter holdings within the same investment family or holdings that should be considered for breakpoint purposes.
Fund Family Name
Current Value ($)
1.)
2.)
3.)
4.)
5.)
6.)
7.)
8.)
Notes - Enter any applicable information related to this case. (Ex. Additional Fund Selection details or Household Holdings)
UMA Model (Level 1):
Please Select
1.1 (Q2 24') - Cap Preservation - $5,500 Min
1.2N (Non-Q) (Q2 24') - Cap Preservation - $25k Min
1.2Q (Qualified) (Q2 24') - Cap Preservation - $25k Min
Other
UMA Model (Level 2):
Please Select
2.1 (Q2 24') - Current Income - $5,500 Min
2.2N (Non-Q) (Q2 24') - Current Income - $25k Min
2.2Q (Qualified) (Q2 24') - Current Income - $25k Min
Other
UMA Model (Level 3):
Please Select
3.1 (Q2 24') - Balanced - $5,500 Min
3.2N (Non-Q) (Q2 24') - Balanced - $25k Min
3.2Q (Qualified) (Q2 24') - Balanced - $25k Min
Other
UMA Model (Level 4):
Please Select
4.1 (Q2 24') - Cap Growth - $5,500 Min
4.2N (Non-Q) (Q2 24') - Cap Growth - $25k Min
4.2Q (Qualified) (Q2 24') - Cap Growth - $25k Min
Other
UMA Model (Level 5):
Please Select
5.1 (Q2 24') - Max Growth - $5,500 Min
5.2N (Non-Q) (Q2 24') - Max Growth - $30k Min
5.2Q (Qualified) (Q2 24") - Max Growth - $30k Min
5.3 - Geneva Small Cap - $60k Min
5.4N (Non-Q) (Q2 24') - All Stock Portfolio - $120k Min
5.4Q (Qualified) (Q2 24') - All Stock Portfolio - $120k Min
Other
Investment Other:
Rebalancing Frequency:
Please Select
No Rebalancing
Quarterly
Semi-Annually
Annually
Dollar Cost Average:
Please Select
6 Month (Monthly DCA)
12 Month (Monthly DCA)
6 Month (Bi-Weekly DCA)
12 Month (Bi-Weekly DCA)
Must invest model MINIMUM $ to start account - DCA applies ONLY funds over minimum
Advisor Fee:
Please Select
Fee A (1.20%)
Fee B (0.98%) Friends/Family
Fee C (0.72%) Employee
Fee D (1.09%) SEI Client
Fee E (0.97%) SEI Discount
Other:
Fee Other:
Notes & Funding Instructions:
*
Please be specific regarding the funding of this account.
Does the account need to be setup for monthly distributions?
Please Select
Yes
No
Monthly Distribution:
Will there be another WMP Investment?
Yes
2 - Investment Objective:
Please Select
Retirement
Education Savings
General Income
General Investing
Goal Description:
Funding Amount:
Funding Source:
Please Select
NEW Account - Transfer
NEW Account - Check Deposit
NEW Account - Death Claim Funding
Additional Contribution to Existing Account
Other - See Funding Instructions
Risk Tolerance Questionnaire Results:
Please Select
Risk Level 1
Risk Level 2
Risk Level 3
Risk Level 4
Risk Level 5
Account Type:
Please Select
Non-Qualified
Qualified
Non-Q Registration Type:
Please Select
Individual
Joint
UGMA
529 Plan
Trust
Qualified Registration Type:
Please Select
Solo 401k
Traditional IRA
Inherited IRA
Roth IRA
Inherited Roth IRA
Rollover IRA
SEP IRA
Simple IRA
Program:
Please Select
Brokerage
WMP - UMA
WMP - AMP
SEI
AMP Fee Schedule:
Please Select
WRAP Fee (No Trade Charges, Higher Client Fee)
Client Pays Trade Charges
UMA Model (Level 1):
Please Select
1.1N - Cap Preservation - Non-Q - $5,500 Min
1.2N - Cap Preservation - Non-Q - $25k Min
1.3N - Cap Preservation - Non-Q - $80k Min
1.2Q - Cap Preservation - IRA - $25k Min
1.3Q - Cap Preservation - IRA - $80k Min
Other
UMA Model (Level 2):
Please Select
2.1N - Current Income - Non-Q - $5,500 Min
2.2Na. - Current Income - Non-Q - $25k Min
2.3Na. - Current Income - Non-Q - $80k Min
2.1Q - Current Income - IRA - $5,500 Min
2.2Q - Current Income - IRA - $25k Min
2.3Q - Current Income - IRA - $80k Min
UMA Model (Level 3):
Please Select
3.1N - Balanced - Non-Q - $5,500 Min
3.2Na. - Balanced - Non-Q - $25k Min
3.3Na. - Balanced - Non-Q - $80k Min
3.1Q - Balanced - IRA - $5,500 Min
3.2Q - Balanced - IRA - $25k Min
3.3Q - Balanced - IRA - $80k Min
UMA Model (Level 4):
Please Select
4.1N - Capital Growth - Non-Q - $5,500 Min
4.2Na. - Capital Growth - Non-Q - $25k Min
4.3Na. - Capital Growth - Non-Q - $80k Min
4.1Q - Capital Growth - IRA - $5,500 Min
4.2Q - Capital Growth - IRA - $25k Min
4.3Q - Capital Growth - IRA - $80k Min
UMA Model (Level 5):
Please Select
5.1 - Max Growth - $5,500 Min
5.2 - Max Growth - $25k Min
5.3Na. - Max Growth - Non-Q - $80k Min
5.3Q - Max Growth - IRA - $80k Min
5.3 - Geneva Small Cap - $60k Min
Other
Investment Other:
Rebalancing Frequency:
Please Select
No Rebalancing
Quarterly
Semi-Annually
Annually
Dollar Cost Average:
Please Select
6 Month (Monthly DCA)
12 Month (Monthly DCA)
6 Month (Bi-Weekly DCA)
12 Month (Bi-Weekly DCA)
Must invest model MINIMUM $ to start account - DCA applies ONLY funds over minimum
Advisor Fee:
Please Select
Fee A (1.20%)
Fee B (0.98%) Friends/Family
Fee C (0.72%) Employee
Fee D (1.09%) SEI Client
Fee E (0.97%) SEI Discount
Other:
Fee Other:
Notes & Funding Instructions:
*
Please be specific regarding the funding of this account.
Will there be another WMP Investment?
Yes
3 - Investment Objective:
Please Select
Retirement
Education Savings
General Income
General Investing
Goal Description:
Funding Amount:
Funding Source:
Please Select
NEW Account - Transfer
NEW Account - Check Deposit
NEW Account - Death Claim Funding
Additional Contribution to Existing Account
Other - See Funding Instructions
Risk Tolerance Questionnaire Results:
Please Select
Risk Level 1
Risk Level 2
Risk Level 3
Risk Level 4
Risk Level 5
Account Type:
Please Select
Non-Qualified
Qualified
Non-Q Registration Type:
Please Select
Individual
Joint
UGMA
529 Plan
Trust
Qualified Registration Type:
Please Select
Solo 401k
Traditional IRA
Inherited IRA
Roth IRA
Inherited Roth IRA
Rollover IRA
SEP IRA
Simple IRA
Program:
Please Select
Brokerage
WMP - UMA
WMP - AMP
SEI
AMP Fee Schedule:
Please Select
WRAP Fee (No Trade Charges, Higher Client Fee)
Client Pays Trade Charges
UMA Model (Level 1):
Please Select
1.1N - Cap Preservation - Non-Q - $5,500 Min
1.2N - Cap Preservation - Non-Q - $25k Min
1.3N - Cap Preservation - Non-Q - $80k Min
1.2Q - Cap Preservation - IRA - $25k Min
1.3Q - Cap Preservation - IRA - $80k Min
Other
UMA Model (Level 2):
Please Select
2.1N - Current Income - Non-Q - $5,500 Min
2.2Na. - Current Income - Non-Q - $25k Min
2.3Na. - Current Income - Non-Q - $80k Min
2.1Q - Current Income - IRA - $5,500 Min
2.2Q - Current Income - IRA - $25k Min
2.3Q - Current Income - IRA - $80k Min
UMA Model (Level 3):
Please Select
3.1N - Balanced - Non-Q - $5,500 Min
3.2Na. - Balanced - Non-Q - $25k Min
3.3Na. - Balanced - Non-Q - $80k Min
3.1Q - Balanced - IRA - $5,500 Min
3.2Q - Balanced - IRA - $25k Min
3.3Q - Balanced - IRA - $80k Min
UMA Model (Level 4):
Please Select
4.1N - Capital Growth - Non-Q - $5,500 Min
4.2Na. - Capital Growth - Non-Q - $25k Min
4.3Na. - Capital Growth - Non-Q - $80k Min
4.1Q - Capital Growth - IRA - $5,500 Min
4.2Q - Capital Growth - IRA - $25k Min
4.3Q - Capital Growth - IRA - $80k Min
UMA Model (Level 5):
Please Select
5.1 - Max Growth - $5,500 Min
5.2 - Max Growth - $25k Min
5.3Na. - Max Growth - Non-Q - $80k Min
5.3Q - Max Growth - IRA - $80k Min
5.3 - Geneva Small Cap - $60k Min
Other
Investment Other:
Rebalancing Frequency:
Please Select
No Rebalancing
Quarterly
Semi-Annually
Annually
Dollar Cost Average:
Please Select
6 Month (Monthly DCA)
12 Month (Monthly DCA)
6 Month (Bi-Weekly DCA)
12 Month (Bi-Weekly DCA)
Must invest model MINIMUM $ to start account - DCA applies ONLY funds over minimum
Advisor Fee:
Please Select
Fee A (1.20%)
Fee B (0.98%) Friends/Family
Fee C (0.72%) Employee
Fee D (1.09%) SEI Client
Fee E (0.97%) SEI Discount
Other:
Fee Other:
Notes & Funding Instructions:
*
Please be specific regarding the funding of this account.
Will there be another WMP Investment?
Yes
Beneficiary Info:
*
Primary or Contingent - % of Distribution, Name, DOB, Relationship, Contact Info, Social Security # If Known
Submit
Should be Empty: