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

Prep App ONLY - No client communication at this time
Rep Information:
Primary Representative:*
Servicing / Submitting Representative:*
Will there be a Split Rep or Rep Change?

Yes
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:

Investment
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?

YesNo
Does this transaction involve an employer sponsored plan? (i.e. 401k, 403b, etc.)

YesNo
Employer Sponsored Plan Information
Does the client have access to their Form 404(a)(5) ?

YesNo
Fund Fee (%)
Admin Fee (%)
Account Features
Is the client currently employed at this company?*

YesNo
How much access does the plan provide?*

No AccessComputer AdvicePhone AdviceComputer & PhonePersonal 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?*

YesNo
Does the plan offer other insurance products as a benefit?*

YesNo
Does the plan offer a self-directed option?*

YesNo
Does the plan offer life insurance as a benefit?*

YesNo
Would the client like to consider a cashout?*

YesNo
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:*

Percentage (%)Amount ($)N/A - Non-Q Assets
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?

Yes
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?

Yes
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??

Yes
Name

First NameLast Name
%
Address

Street Address

Street Address Line 2

CityState

Zip Code
Phone Number
Please enter a valid phone number.
SS#:
Date of Birth

MonthDayYear
Will there be additional Primary Beneficiaries?

Yes
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.
SS#:
Date of Birth

MonthDayYear
Will there be additional Primary Beneficiaries?

Yes
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.
SS#:
Date of Birth

MonthDayYear
Will there be additional Primary Beneficiaries?

Yes
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.
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.
SS#:
Date of Birth

MonthDayYear
Will there be additional Contingent Beneficiaries?

Yes
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.
SS#:
Date of Birth

MonthDayYear
Will there be additional Contingent Beneficiaries?

Yes
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.
SS#:
Date of Birth

MonthDayYear
Will there be additional Contingent Beneficiaries?

Yes
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.
SS#:
Date of Birth

MonthDayYear

	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