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Client Packet Tips
When completing a client packet, remember these below tips: * The client should be the one completing the documents and you can advise them on how to complete. * If using DocuSign, we will only accept authentication using Knowledge Base (KBA). * Most ...
Non - Resident Alien (NRA)
When a client is a Non-Resident Alien, please complete the attached documents. Once complete, please submit with the Non-Brokerage Application. Forms Enhanced Due Diligence Questionnaire for NRC.07-2014.pdf W8 BEN Form Individual. 07-2017.pdf ...
Transition Cases - Uploading Client Packet
This article is to be used when you are transitioning your book of business to Mutual and you have been working with the Transitions team. The cases will already be created under the primary point of contact's log in for the transition. Use the below ...
Corporate/Non-Corporate Resolution Authorization Form
For any Corporation, Partnership, Sole Proprietorship, Non-Profit, and LLC. accounts we will need the either the Articles of Incorporation or the Corporate/Non-Corporate Resolution Authorization Form completed. This Form is used to name the ...
401K Account Paperwork Requirements
In addition to the Non-Brokerage Account application and the Change of Broker Dealer Form, we will need the executed and signed plan documents. These documents show who the Authorized Individual is on the 401K account. This allows Mutual Securities ...