New Accounts - Mutual Fund Direct

Mutual Fund Direct - New Business
Priority:
Documents Requested By:

MonthDayYear
Date
Delivery Method:
Upload Client Files:

Client Docs, Statements, License, Etc.
Cancelof
New Accounts Team - Client Communication
Rep Information:
Primary Representative:
Servicing / Submitting Representative:
Will there be a Split Rep or Rep Change?
Split Rep or Rep Change Information:
Account Owner:
Owner Name:

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

First NameMiddle NameLast Name
Investment Experience:
Annual Income:
Net Worth:
Liquid Net Worth:
Annual Expenses:
Range of Special Expenses:
Time frame of the Special Expenses:
Account & Investment Details:

1 - Investment Objective:
Goal Description:
- Client Facing Account Name
Expected Annual Funding Amount
Funding Source:
Money Type
Will this movement of existing funds generate new revenue or commission?
Will this movement of funds create increased or decreased revenue for the term of the investment?
What is the annual percentage of increase or decrease?
Risk Tolerance Questionnaire Results:
Account Type:
Non-Q Registration Type:
Qualified Registration Type:
Program:
Describe Other
AMP Fee Schedule:
RightBridge Wizard:
Is the client retired?
Does this transaction involve an employer sponsored plan? (i.e. 401k, 403b, etc.)
Employer Sponsored Plan Information
Does the client have access to their Form 404(a)(5) ?
Fund Fee (%)
Admin Fee (%)
Account Features
Is the client currently employed at this company?
How much access does the plan provide?
Which best describes the company's size?
Total amount of loans against the plan? ($)
Percentage of assets in company stock?
Is the client satisfied with plan investment options?
Does the plan offer other insurance products as a benefit?
Does the plan offer a self-directed option?
Does the plan offer life insurance as a benefit?
Would the client like to consider a cashout?
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?
Investment Management Strategy - What investment style does the client prefer?
Select Funds - Please indicate if you would like to allocate a percentage or amount:
Allocation Details:

Notes - Enter any applicable information related to this case. (Ex. Additional Fund Selection details or Household Holdings)
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.
Does the account need to be setup for monthly distributions?
Monthly Distribution:
Will there be another WMP Investment?
2 - Investment Objective:
Goal Description:
Expected Annual Funding Amount
Funding Source:
Risk Tolerance Questionnaire Results:
Money Type
Will this movement of funds create increased or decreased revenue for the term of the investment?
What is the annual percentage of increase or decrease?
Will this movement of existing funds generate new revenue or commission?
Account Type:
Non-Q Registration Type:
Qualified Registration Type:
Program:
Describe Other
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.
Will there be another WMP Investment?
3 - Investment Objective:
Goal Description:
Expected Annual Funding Amount:
Funding Source:
Money Type
Will this movement of funds create increased or decreased revenue for the term of the investment
What is the total amount of increase or decrease?
Will this generate new revenue or commission?
Risk Tolerance Questionnaire Results:
Account Type:
Non-Q Registration Type:
Qualified Registration Type:
Program:
Describe Other
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.
Beneficiary Info:
Ex. Same as previous beneficiaries, etc.
Primary Beneficiary:
Do you have Beneficiaries to add to this account??
Name

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear
Will there be additional Primary Beneficiaries?
Name - 2nd Primary Beneficiary

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear
Will there be additional Primary Beneficiaries?
Name - 3rd Primary Beneficiary

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear
Will there be additional Primary Beneficiaries?
Name - 4th Primary Beneficiary

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear
Contingent Beneficiary:
Name

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState / Province

Postal / Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear
Will there be additional Contingent Beneficiaries?
Name - 2nd Contingent Beneficiary

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear
Will there be additional Contingent Beneficiaries?
Name - 3rd Contingent Beneficiary

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear
Will there be additional Contingent Beneficiaries?
Name - 4th Contingent Beneficiary

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.Format: (000) 000-0000.
SS#:
Date of Birth

MonthDayYear

Rows	Fund Family Name	Current Value ($)
1.)
2.)
3.)
4.)
5.)
6.)
7.)
8.)

Mutual Fund Direct - New Business

Rep Information:

Account Owner:

Investment Experience:

Account & Investment Details:

RightBridge Wizard:

Employer Sponsored Plan Information

Account Features

Primary Beneficiary:

Contingent Beneficiary:

The following selections specify how this recommendation was made in the best interest of the client and meets their current risk tolerance and investment objective