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  • New Accounts Opening Wizard

    **To save a copy of these results for your reference, assign an Account Nickname Ex: Elvis Presley's IRA Brokerage**
  • Have you completed the required CRS Disclosures for this account in Jotform?*
  • Is the Account Qualified?*
  • Which Qualified Category / Registration will the Account have?*
  • Which Non-Qualified Category / Registration will the Account have?*
  • What Kind of Trust?
  • Does it have an Entity Controller and/or is it considered a Disregarded Entity?
  • Is it considered a Disregarded Entity?
  • What kind of Executor?
  • Is it any of the following: Non-Incorporated, Unincorporated, Foundation or Investment Club?

  • Public Entity

    COMING SOON
  • Is the Account for an Annuity?*
  • If yes, is it:
  • Will the new Account be Brokerage OR ICA Advisory?
  • If account is for a new Annuity, how will the Annuity initially be funded?
  • How will the Non-Qualified Account initially be funded?
  • How will the Qualified Account initially be funded?
  • How will the Qualified Account initially be funded?
  • If Qualified Check, what kind?
  • Will this Qualified Account have distributions or contributions? (may select multiple options)
  • Will this Non-Qualified Account have distributions or contributions? (may select multiple options)
  • Does the client go by a nickname, alias, or have a Suffix?
  • Do you need any additional features?
  • Will the account be invested in any of the following products?

  • Additional Features

    Select any of the features below

  • Requirements For This Account:

  • CRS Disclosure Form - Before an account can be opened, you must complete the required CRS Disclosure via the online CRS Tool on the Intranet.

  • Envelope 1 - Raymond James New Account Form

  • Other Accounts  - Call RJ New Accounts (727.567.3250) or search account registration in RJ Net for how to proceed.  You could also call Level Four Advisor Advocate Team (866.834.1040) for assistance. 

  • Form 1212 or OTHER registration specific New Account Forms 

    These will be manually filled out with the assistance of New Accounts Team at RJ

  • MCA – Created via the Client Onboarding & Maintenance Tool (COB) on RJ Advisor Access.  If you are capturing the client(s) signature electronically, you can put all necessary RJ forms into one eSignature envelope.  See the Service Center > eSignature section in RJ Advisor Access for more information.

  • Retirement Plan Team will assist with setup & paperwork - Reach out to Heather Leggett 

  • Simple Account - Simple IRAs with Raymond James as the custodian require the Master Account to be opened with the RJ New Accounts Team first. After you have the Master Account Number, you will go back into COB and open the Employee Account. The Step By Step Guide is available in the Training & Advertising section of the Intranet. 

    *additionally, SIMPLE IRAs are the only exception for direct mutual fund accounts.  You can set up a mutual fund account at American Funds for SIMPLE IRA plan/account and then the corresponding direct account at Raymond James.

  • *** Instructions for COB ***

  • Account Category in COB needs to be Fiduciary. Select 529 as the Registration Type on the Account Profile Page.
  • Account Category in COB needs to be Fiduciary. Select Educational Savings Account as the Registration Type on the Account Profile Page.
  • Account Category in COB needs to be Fiduciary. Select Health Savings Account as the Registration Type on the Account Profile Page.

  • Account Category in COB needs to be Fiduciary. Select UGMA as the Registration Type on the Account Profile Page.

  • Account Category in COB needs to be Fiduciary. Select UTMA as the Registration Type on the Account Profile Page.

  • Account Category in COB needs to be Individual Retirement. Select the corresponding IRA Type as the Registration Type on the Account Profile Page. Below the Account Type Question select Beneficiary Owner.

  • Brokerage or ICA (either LFCM managed OR Rep-managed) Advisory Accounts, mark the Account Type Option in COB as Commission 

  • For an Annuity, the Account Type Option in COB needs to be Direct

  • Transfer on Death is added if you CHECK the corresponding box in COB on Page 1 at bottom

  • Capital Access Checks are added if you CHECK the corresponding box in COB on Page 1 at bottom & fill out the new Capital Access Tab

  • Capital Access Debit Cards are added if you CHECK the corresponding box in COB on Page 1 at bottom & fill out the new Capital Access Tab

  • Margin is added if you CHECK the corresponding box in COB on Page 1 at bottom

  • When adding Power of Attorney or additional party with Trading Authorization, will be included on the Party Level not the Account Level.

    Add the Authorized Parties on the Additional Parties tab of the Client/Party Profile. 

    Raymond James will need a wet signed (possibly notarized) document to add the additional person on the account. 

  • Duplicate Statements are added by CHECKING the corresponding box in COB on Page 2 at Bottom

  • Electronic Delivery for RJ documents is added in COB after submitting the Accounts / or after the fact in RMC / or Client can do it in Client Access

  • Online Account Access can be added in COB after submitting the Accounts

  • You are able to add a Trusted Contact under the Party Level. Add the Trusted Contact on the Additional Parties tab of the Client/Party Profile.

  • Start process in Potential Loan Analyzer on Advisor Access in the Private Client Banking section of My Clients

  •  

    Raymond James Training Materials for Client On Boarding (COB)

    ALL signed forms will be submitted to NewAccounts@LEVELFOURFINANCIAL.COM

  • Envelope 2 - Raymond James Forms

    Copy NewAccounts@LEVELFOURFINANCIAL.COM on all documents sent via RJ DocuSign

  • RJ1407/RJ1407E - Client Account Transfer Instruction  |  Form Guide
    Choose RJ1407E version if using with DocuSign.  RJ prefers that you create the form via SmartForm on RJ Advisor Access.

  • RJ1059 / RJ1059E - Mutual Fund Transfer Authorization | Form Guide
    Choose RJ1059E for DocuSign form
  • RJ1055 - One and the Same  |  Form Guide
    Be sure to have ALL variations of the client's name included. Especially if the client's voided check does not match their RJ account titling
  • RJ1565/1567 - Power of Attorney |  Form Guide
  • RJ1960 - Delegation of Trustee Duties  |  Form Guide
  • RJ1420 - Full Force and Effect Letter  |  Form Guide
  • RJ1112 - Option Agreement
  • RJ1115 - Limited Trading Authorization  |  Form Guide

  • RJ1236 - Rollover Election Certification  | Form Guide
    The RJ1236 form has to be completed using Smart Forms in RJ Advisor Access

  • RJ1883 - Alternative ETP - Investor Qualification Attestation  | Form Guide

  • Transfer on Death Beneficiaries are added to each account in COB. You will check the box on the 1st page of the Account Profile. 

  • RJ1511 - ACH Profile Setup Request  |  Complete in Money Movement Application
    *Skip the Trade Settlement Option Section & ONLY fill out the Scheduled Transaction Option & Financial Institution Information.
    *Submit Systematic Purchase request in the Consolidated Order Entry System as a Periodic Order

  • RJ1511 - ACH Profile Setup Request  |  Complete in Money Movement Application

  • RJ0120 - Periodic Payment Modification Request | Complete in SmartForm

  • Envelope 3 - Level Four Forms

  • The Annuity Team will assist with Licensing & Paperwork Requirements - Please reach out to Jeff Wagnon 

  • LFAS100 - Investment Advisory Agreement

    LFAS200 - Investor Risk Tolerance Questionnaire

  • LFAS300 - LF Electronic Delivery form

  • The LFAS100, 200, & 300 have all been merged in to one document referred to as the LFAS COMBO form. It is the preferred form to use when opening an Advisory Account. 

  • LF189 - Transfer Rollover Due Diligence
    Required for all Retirement Accounts that are being transferred or receiving a rollover contribution.
  • LF188 - Annuity Purchase Disclosure - Required on all NEW Annuity purchases.
  • SBLOC Client Background and Suitability Checklist
  • SBLOC Disclosure Document - sent via CRS Jotform
  • LF154 - Change of Broker Dealer Form

  • LF126 - Plan Due Diligence Form - NEW 529s ONLY

  • LFF186 - Structured Products Account Approval

  • LF192 - Alternative Investment Disclosure

    The client should also receive the LFF172 – Exchange Traded Product Risk Disclosure (if it is a Category 2 trade).  This is a jotform distributed disclosure and does not require client signature.

  • LF172 - Disclosure to send to Client - Jotform to Complete

  • LF172C - Crypto Disclosure to send to Client - Jotform to Complete

  • PDF/Paper Forms - Download the most up-to-date forms from the Level Four Intranet under Forms. They will need to be filled out manually and sent to the client for signature.

    eSignature Forms - Go to the Level Four Docusign and complete the forms using the Level Four Templates. Using our DocuSign you are able to put all of the Level Four forms in one packet.

    Level Four Training Materials - Training & Advertising section of Intranet 

    ALL signed forms will be submitted to NEWaccounts@LEVELFOURFINANCIAL.COM
  • *** NOTES ***

  • Please be sure to not include BROKERAGE account numbers on the LFAS100 or LFAS200 forms, if you are opening Brokerage & Advisory accounts at the same time.

  • The signed LFAS Advisory paperwork will ‘convert’ the account to a fee-based Advisory account after approval.

  • Once all the accounts are opened, go into the Relationship Management Center in RJ and HOUSEHOLD the accounts

  • Additional Details for Funding & Distributions 

  • Distributions - The best way to get the correct documentation is to fill out the Money Movement Tool in Advisor Access. Based on the entered information, it will create the necessary forms for the distribution / contribution.

  • Non-Qualified Check - Please have the check made payable to Raymond James  
    Acceptable & Unacceptable Checks 

  • Qualified Check

    • Checks issued by a 3rd party financial institution and made payable to any of the below are acceptable for deposit to a Raymond James account:
      • Raymond James & Associates or RJ&A (the clearing firm and custodian)
      • Raymond James or RJ
    • The following payees will be risk-accepted by the firm, as the funds could be tax-qualified and time-sensitive in nature.  The firm cannot possibly inform every 3rd party financial institution in existence of our correct payee entity RJ&A.  Returning these checks could inadvertently create a tax or other financial consequence for the client, through no fault of their own. 
        • Raymond James Financial or RJF – our parent company
        • The named client on the account
    Acceptable & Unacceptable Checks

  • Wires -

    OUTGOING Wire: The best way to get the correct documentation is to fill out the Money Movement Tool. Based on the entered information, it will create the necessary forms for the distribution / contribution. 

    INCOMING Wire: Domestic Wire Instructions 

    • Beneficiary Bank: Citibank
    • Beneficiary Bank Address: 111 Wall Street, New York, NY 10043
    • Beneficiary Bank ABA #: 021000089
    • Beneficiary: Raymond James & Associates, Inc.
    • Beneficiary’s Address: 880 Carillon Parkway, St. Petersburg FL 33716
    • Beneficiary’s Account #: 40776559

    For Further Credit/FFC: Client's name and RJ account number (required for client wires)

    Posting details for IRA accounts (Contribution (current/prior year), Rollover, Transfer (provide paperwork)

    Wiring of Funds Guide

  • Journal - Once the account has been approved you will request the assets move via the Security Movement section in RJ Advisor Access.

  • Clear Form

  • That's it!

    If you would like to save a copy of these results for your reference or review the answers, hit "Review Answers" below. At the bottom you can hit "Print" and either Save to PDF or Print a physical copy.

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