New Accounts - Additional Deposits - Annuity & Investment Accounts

Additional Deposits

Into Existing Annuity and Investment Accounts
Timing and Client Contact Details
Priority*
If urgent, select a reasonable due date, explain the urgency and be sure correct delivery method is selected.
Documents requested by:*

MonthDayYear
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 your selection matches client expectations*

Email / ElectronicPaper / MailedPaper / Team can invite client to come to office to sign with themPaper / Give docs to Advisor
Delivery Method - any special considerations 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 or Rep Change?*

YesNO
Secondary Rep in Split:*
Split Rep Details or Rep Change Information:*
Submission Details
The following details are REQUIRED for submission. By checking the following boxes you are confirming this info is in RT*

Beneficiary Names with dates of birthClient(s) SSNCurrent IncomeCurrent Expenses
IMPORTANT details to share to update client records? (re: budget, expenses, income. BIRTHDATES and SOCIAL SECURITY #s can NOT be noted here and must be shared in a secure way)
Have all persons related to this submission been fully onboarded?*

YESNO
Has Onboarding been formally requested by means of a Jotform?*

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 & emailed to team, saved in client docs, saved to RT, handed to team, 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:*
Owner Age:*
NOT Date of Birth
Joint Owner Name:

First NameMiddle NameLast Name
Annuitant Name (If different than owner name):

First NameMiddle NameLast Name
Do Beneficiaries need to be edited for the accounts involved?*

YESNO
Beneficiary Details: Full Names, Relationship, Primary or Contingent, %*
DO NOT include DOB, SSN. Make sure that information is in RT
Account / Funding Details:
ORIGINATING Account Carrier Name:
ORIGINATING Account Number
ORIGINATING Account Registration
ORIGINATING Account Type
RECEIVING Account Carrier Name:*
RECEIVING Account Number*
RECEIVING Account Registration:
RECEIVING Account Type:
ORIGINATING Account - close or remains open?
Total Funds Moving:*
Individual FA Production Tracking

The following fields are tracked for production tracking of every Rep. Please provide accurate details for your benefit.
Money Type*
What is the current trail?*
Will this create increased or decreased revenue for the term of the investment*
What is the percent of increase or decrease annually?*
Notes & Funding Instructions - be as detailed as possible:*
Please be specific regarding the funding of this account.
Distributions - IMPORTANT - to ensure that the client & the team are clear on CURRENT distributions due to change, & NEW distribution details.

Note - the timing of account opening and funding may disrupt a clients current routine for distributions. Please advise of an interim plan for distribution(s) from another account, if needed, to keep the clients income expectations on track while new account processes are in motion.
Does the RECEIVING account need to be setup for routine distributions?*

YESNO
New Distribution Details*
Will the money movement impact already established routine distribution in the ORIGINATING or RECEIVING account?*

YesNo
Current Distribution Details*
Distribution Details- provide the team with as much detail as possible so that this process is as smooth as possible and not disruptive to the client.
Duty Of Care Question:
What SPECIFIC types of accounts & SPECIFIC products were discussed as an alternative to this product? Submissions require NAMES of products, not just product types. Please note: your input will appear on documents the client signs.*
Our team will be asked for specific names of products and not just general types of products. Please assist by providing our team with those details.
Why is the RECEIVING account better suited for the client than the ORIGINATING account?*
Provide the client specific rationale as to why this client suits the client and appeals to the client.
Is the money coming FROM an annuity and going TO an annuity?*

	1a. Current Income	Source
Amount:
Amount:
Amount:
Amount:
Amount:

	1b. Future Income (not this annuity)	Source
Amount:
Amount:
Amount:
Amount:
Amount:

Additional Deposits

Timing and Client Contact Details

Rep Details

Submission Details

Account Ownership Details:

Account / Funding Details:

Individual FA Production Tracking

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

Duty Of Care Question:

Reasons for recommending this annuity: