Fortune Financial Suitability Form - PDF
New - You may now fill out this form online before printing it!
Always complete this form and submit it along with the sale to us. The NASD requires us to have a copy of this on file before we process any sale. A new Suitability Form must accompany all sales sent to us each time. This form is now required to be updated every three years. The NASD 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.
Fortune Financial Individual Transfer Form - PDF
New - You may now fill out this form online before printing it!
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 Ledger - PDF
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. The NASD 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.
NASD Customer Identification Program Notice - PDF
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.
