Just as a reminder: Any forms intended for use with the public need to have ad approval (example: Fax Cover Sheet)

Forms & Resources

Client Forms

Client Advised Risk Management Declination

WFG Privacy Policy

Client Data Collection Tools

Client -  What to bring to your first appointment
Client Review Outline
Client Profile
Client Accounts Profile
Understanding Client Financial Goals
Client - Goals and Objectives
Client Insurance Review
Client Insurance Needs Analysis
Client Income and Expenses
Client Asset and Liabilities
Client Cash Flow Summary
Client Location of Records
Client - Fact Finder/Data Review
Client Service Request Form

Processing Forms

EIA Processing Transmittal
Perry Financial Insurance Transmittal Form
Processing CoverSheet
Request to move terminated clients in Laserfiche

Account Deposit Form

Processing Resources

Non-exchange Traded REIT Process

Variable Annuity Replacement Procedures

General Forms

Complaint Review
Fax Cover Sheet
NASD CRD Instructions to Obtain Information
U4 and OBAQ Update Request
Address Update/State Registration Form/Exam Request Form

2009 Annual ADV Offer Letter Requirements and Sample Letter

General Resources

Outlook Instructions for Email Access
Out of Office Reply Set-up Instructions
Live Office Webmail User Guide

Stationary Disclosures

Acquiring DST ID info

Missing Account Mapping in OneView

Client Segmentation: (for full details CLICK HERE)

To download the worksheet CLICK HERE

SagePoint ServiceNet & My Notifications Set-up

For SagePoint Financial, Inc. and Pershing Forms CLICK HERE