Investment, Mortgage, and Insurance Specialists

Agent Forms

All forms are in .PDF format. If you do not have Adobe Acrobat Reader installed on your computer, or your version is out of date, please click the button below to download the most current version of the free Adobe Acrobat Reader.

• Change of Dealer Authorization (Fillable)
  Use this form to transfer an account to you from another broker. It can also be used to transfer orphan accounts to you.
   
• FINRA Customer Identification Program Notice
  Give a copy of this notice to every client. We usually do this in conjunction with the new account/suitability form. This explains why we need to ask for drivers license numbers etc.
   
• FINRA Manual Online
   
• Form W-4
   
• Form W-4P
   
• Form W-9
   
• Fixed Annuity Spreadsheet
  Username: Spreadsheet
  Password: spr3adS
   
• Investment Objective Questionnaire (Fillable)
   
• New Business Transmittal Form (Fillable)
  This form must be submitted along with all new securities and equity-indexed business.
   
• Outside Business Activity Disclosure
  Complete this form and forward it to us for approval prior to engaging in any outside business activity.
   
• Public Disclosure Program
  These are FINRA required disclosures that must be given to any client who is new to Fortune Financial Services.
   
• Securities Business Ledger
  Please keep a daily updated copy of this ledger in your office. You can use a ring binder or notebook as long as it is in this format. FINRA wants you to be able to show any sales activity you have done for two years. This can be hand written, typed or computer generated. Please make sure the format is the same.
   
• Website Disclosure Form
   
• WSP/Compliance Manual
  As of August 24, 2009
   

Brokerage Account Forms

These forms are available to facilitate the transfer and maintenance of existing brokerage accounts. If you are opening a new account directly with a fund company, do not use these brokerage account forms. Remember that all forms are required to be mailed to our back office for processing.

IN ORDER TO TRANSFER A BROKERAGE ACCOUNT, OUR CLEARING FIRM REQUIRES THAT A PHOTOCOPY OF A CURRENT GOVERNMENT-ISSUED ID ACCOMPANY ALL BROKERAGE APPLICATIONS.

***Please note that client accounts may still be de-networked in the traditional manner.***

• Asset Transfer Form - ACAT
   
• Corporate Resolution
   
• Interested Party Authorization Form
   
• IRA Designation of Beneficiary
   
• IRA Distribution Request Form
   
• IRA Rollover Certification
   
• Money Link Electronic Funds Transfer Form
     Transfer funds electronically to and from your account via ACH.
   
• Retail Account Application
   
• Retirement Account Application
   
• Trust Certification
   

Series 6 & 63 Study Material

• Agent Continuing Education