NBA - Client Packet Tips

NBA - 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.

* Enter the CRS Delivery Date (pages added into the client packet).  This is the date the client received the Client Packet with the CRS Forms explaining the agreement between Mutual and the Client.

* Client SS# and DOB must be completed. If these sections are not, they will need to be initialed and dated by the client when they are added.

-          529 account, enter the beneficiaries name, SS# and DOB.

-          Joint account, the entire secondary portion needs to be completed

 * Remember to enter the TIN # if applicable for the registration type.

·        * Enter in a valid ID Exp. Date.

·       * Employment Status:

                        - Retired or Unemployed, we need to know the former occupation of the client.

·                                         - Page 2 (Financial Profile) Current Source of Income, do not mark Salary.

·                                   - Homemaker, do not mark salary. They can mark Spouse/Partner Salary or any other options that apply.

·         * Every section on page 2 (suitability information) needs to be completed. If there is a missing item, the client will need to initial and date the change/update. However, the Trusted contact section can be added without initials.

·                                 - On Page 2, for the Investment Objective Ranking, make sure there is only one #1 listed.

·        * 529 plan: 

                             -Need the bene's legal physical address listed. 
                              - Owner needs to initial all four boxes on the Acknowledgements page.

·         * Change of BD Form (COBD): we need the Name of the MF or Annuity Company, Name of Client, and the account/contract number. The client’s signature and date must be within 60 days of sending us the paperwork. The carriers typically range from 60-90 days until they will stale date the document.

·        * LPOA: if the account has multiple owners, make sure all people sign and date.

When sending the client packet via the Portal, please save the Client Packet as:

        Client Packet - Last Name, First Name – Registration Type

·         Send the entire packet as one file – Release of Information (ROI), NBA, Change of BD (COBD), and the LPOA. If there are other supporting documents (401K plan documents, POA Docs, Trust Docs etc..) please attach as well to the packet. If you have questions in regard to the supporting documents, please see the KB articles. 

-          401K Account Paperwork Requirements

 

-          Durable Power of Attorney Affidavit and Indemnification Form

 

-          Trust Account Documentation



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