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 If you do not have Adobe Acrobat Reader installed on your computer, or your version is out of date, please click the button below to download the most current version of the free Adobe Acrobat Reader.

• Fixed Annuity Spreadsheet
   
• Fortune Financial Compliance Manual
  As of October 1, 2007
   
Mutual Funds
• Fortune Financial Suitability Form - Mutual Funds (Fillable)
  Always complete this form and submit it to us along with each mutual fund application. This form must be signed by each client at point of sale.
  
  FINRA requires us to have a copy of a current suitability form on file before we process any sale. A new Suitability Form must accompany all new business sent to us each time. This form is now required to be updated every three years. FINRA says a client who has not bought a new product or added money to their account for three years is exempt from the three-year update rule.
   
Variable Annuities & Variable Life Insurance
• Fortune Financial Suitability Form - Variable Annuities & Variable Life Insurance (Fillable)
  Always complete this form and submit it to us along with each Variable Annuity or Variable Life Insurance application. This form must be signed by each client at point of sale.
   
Equity Indexed Annuities & Equity Indexed Life Insurance
• Fortune Financial Suitability Form - Equity Indexed Annuitites & Equity Indexed Life Insurance (Fillable)
  Always complete this form and submit it to us along with each Equity Indexed Annuity or Equity Indexed Life Insurance application. This form must be signed by each client at point of sale.
  
   
• 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.
   
• Fortune Financial Public Disclosure Program
  This is FINRA required disclosures.
   
• Fortune Financial 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.
   
• 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.
   
• Outside Business Activity Disclosure
  Complete this form and forward it to us for approval prior to engaging in any outside business activity.
  
  
• Form W-4
   
• Form W-9
   

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 accompanies 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