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Forms
Available Online Forms
ACCOUNT MAINTENANCE - Account Information Update - Address etc.
ACCOUNT MAINTENANCE - Affidavit of Domicile
ACCOUNT MAINTENANCE - Associated Person Form
ACCOUNT MAINTENANCE - Check Request Form *UPDATED*
The form to fill out when requesting a check from a client's account.
ACCOUNT MAINTENANCE - Cost Basis Updates to Client Accounts
please fill out this form if you would like cost basis updated on an account
ACCOUNT MAINTENANCE - Letter of Authorization
ACCOUNT MAINTENANCE - MoneyLink Electronic Funds Transfer
To set up an ACH in to or out of an account
ACCOUNT MAINTENANCE - Statement Consolidation Householding
ACCOUNT MAINTENANCE - Third Party Waiver
ACCOUNT MAINTENANCE - Web Site Account Householding
ACCOUNT MAINTENANCE - Wire Instructions (to Legent)
ACCOUNT MAINTENANCE - Wire Request *UPDATED*
The form to use when requesting a wire from a customer's account.
ACCOUNT SETUP - Account Guarantee Form
ACCOUNT SETUP - Account Transfer Form
ACAT
ACCOUNT SETUP - Certificate of Partnership
ACCOUNT SETUP - Certificate Of Sole Officer
ACCOUNT SETUP - Certificate of Sole Proprietorship
ACCOUNT SETUP - Checkwriting and/or Visa Form *UPDATED*
This form will get you a visa card and/or checks to write against your money market balance.
ACCOUNT SETUP - Checkwriting/Visa Services Agreeement *NEW*
ACCOUNT SETUP - Corporate Resolution
ACCOUNT SETUP - CUSTOMER AGREEMENT
ACCOUNT SETUP - Full Trading Authorization
ACCOUNT SETUP - Institutional Form
ACCOUNT SETUP - Interested Party Authorization Form
ACCOUNT SETUP - Limited Trading Authorization
ACCOUNT SETUP - LLC Resolution
ACCOUNT SETUP - Margin Agreement
Required when opening a Margin account.
ACCOUNT SETUP - New Account Form *UPDATED*
The form to fill out when opening any non-IRA account.
ACCOUNT SETUP - Non-Incorporated Association Resolution
ACCOUNT SETUP - Option Agreement
Required when opening an Option account.
ACCOUNT SETUP - Trading Authorization for Investment Club Accounts
ACCOUNT SETUP - Transfer On Death Form *UPDATED*
ACCOUNT SETUP - Trust Certification
Required to open a Trust account.
AML Compliance
BROKER LOGS - Check Log
BROKER LOGS - Mail Log
BROKER LOGS - Securities Log
DIRECT ACCOUNTS - Change of Broker/Dealer Authorization
Fill this out to change the Broker/Dealer of record on accounts held direct at the fund company.
DIRECT ACCOUNTS - Direct Account Application
To be completed in addition to fund company paperwork when opening an account directly at a fund/life/annuity company.
DISCLOSURES - Breakpoint Checklist
DISCLOSURES - Breakpoint Disclosure Statement
DISCLOSURES - Breakpoint Worksheet
DISCLOSURES - Margin Disclosure Statement
DISCLOSURES - Mutual Fund Disclosure Document
DISCLOSURES - Penny Stock Customer Suitability Statement
DISCLOSURES - Penny Stock Required Disclsosure under Rule 15g-2
DISCLOSURES - Penny Stock Risk Acknowledgement Letter
DISCLOSURES - Special Statement to Uncovered Option Writers
DISCLOSURES - Variable Annuity Disclosure
DISCLOSURES - Variable Product Replacement
IRA - 5305-SEP
IRA - IRA Designation of Beneficiary
IRA - IRA Distribution Form
IRA - IRA New Account Form *UPDATED*
IRA - IRA Rollover Certification
IRA - Simple IRA 5304
Privacy Policy/ BCP
Privacy Policy/BCP Terra Nova
SECURITIES - Exercise Request Example
SECURITIES - Exercise Request Form
SECURITIES - Irrevocable Stock or Bond Power
SECURITIES - Notice of Exercise of Stock Options
SECURITIES - Request to Remove Legends
SECURITIES - Requested Sale of Shares
SECURITIES - RULE 144 BROKER’S REPRESENTATION LETTER – AFFILIATE
SECURITIES - RULE 144 BROKER’S REPRESENTATION LETTER – NON-AFFILIATE
SECURITIES - RULE 144 SELLER’S REPRESENTATION LETTER - AFFILIATE
SECURITIES - RULE 144 SELLER’S REPRESENTATION LETTER – NON-AFFILIATE
SECURITIES - Shareholder Disclosure To Issuers
SECURITIES - Trade Correction
SECURITIES - WORTHLESS SECURITY DISPOSITION FORM A - REMOVE AS A JOURNAL
SECURITIES - WORTHLESS SECURITY DISPOSITION FORM B - REMOVE AS A TRADE
TRADES - Block Buy Ticket
TRADES - Block Sell Ticket
TRADES - Buy Ticket
TRADES - Sell Ticket
WRAP FORMS - RC wrap fee agreement
WRAP FORMS - Ridgeway Advisory Wrap Agreement
WRAP FORMS - ADV Part II and Schedule F Revised 05-16-07
WRAP FORMS - Advisory Breakdown#2
WRAP FORMS - Advisory Services Agreement
Investment Advisor Services Agreement
WRAP FORMS - Advisory Wrap Agreement
WRAP FORMS - RCAS Wrap fee agreement
WRAP FORMS - Ridgeway Conger Trading Authorization
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