F75 – Transfer on Death Account Agreement
This form will serve to re-instate the beneficiary(ies) on your Non-Qualified accounts. We have pre-populated the beneficiary information you previously listed when the account was opened.
F29 – Certification of Trust
This form will serve to validate your current trust information on your account. We have pre-populated the information you previously listed when the account was opened. Additionally, please pay close attention to the notary requirement flagged with your signature. Emma will be notarizing for clients within a certain range of our office; if you are out of this range and are unsure of where to get a notary done, please click here.
F1 – Account Application
This form will serve to validate your information on your account. We have pre-populated the information you previously listed when the account was opened. Please see below for definitions on terminology you may see on this form.
F596 – Discretionary/Non-Discretionary Amendment
As part of the move to LPL, I am excited to be adding additional support for compliance, operational functions, and trades. This form is required by LPL for accounts holding individual stock positions.
Important note: This will not create any drastic changes in the way we work together now. Most accounts are currently rebalanced once or twice a year to maintain the desired allocation based on your individual risk tolerance. I am replacing the support I have with Waddell & Reed in executing these instructions with support at LPL to improve overall efficiency and organization.
CM111 – RMD Service
Applicable if you are required to take a Required Minimum Distribution this year, or beginning next year. If you have already been actively taking a RMD, we will pre-fill the previous instructions for you. If you would like to change these instructions, please ensure that you cross out, initial and date next to each change.
F456 – Permission to Disclose Personally Identifiable Information
This form allows us to release information pertaining to your account(s) to authorized individual(s). If you would like to allow us to communicate with your spouse, family member, CPA, etc. regarding your accounts, please complete this form.
Net Worth: all of your assets, excluding Primary Residence.
Liquid Net Worth: any asset that can be turned into cash within 30 days without penalty; this excludes any annuity not out of surrender, retirement accounts if you are under the age of 59, etc.
Liquidity Needs: when you plan on drawing income from the account