PDF Forms & Disclosure Material

This section contains the necessary PDF files for opening a new account. Please contact us if you need us to send you one of these forms to update your address and other personal and financial information, such as beneficiary changes, etc.

Other important items of information such as the protection of your privacy and confidentiality and our Business Plan in the event of a serious business disruption are also referenced herein. If you would like us to send you any of the information below, kindly click on the Adobe Reader Logo and you will then be directed to our contact form where you can state your requests in the comment section along with your e-mail address.

If you require Adobe Acrobat Reader to access the forms, you may download a free copy by Clicking Here

REGISTERED INVESTMENT ADVISOR

Advisory New Account Application – Coming Soon

Advisory Consulting Agreement – Coming Soon

Investor Suitability Questionnaire – Coming Soon

Client Advisory Service Agreement – Coming Soon

2022 MFS – Financial Advisory

2022 Form CRS – Client Relationship Summary

VARIABLE INSURANCE / MUTUAL FUNDS RETAIL

New Account (Non-Brokerage) Application – Coming Soon

ALL OTHER BUSINESS TYPES

New Account (Non-Brokerage) Application – Coming Soon

New Account (Existing Account) Addendum – Coming Soon

ANTI-MONEY LAUNDERING

Our Anti-Money Laundering Program and Procedures – Coming Soon

We are working very diligently to protect your deposits and investments from illegal money laundering activities. If you suspect any financial wrongdoing, you are asked to notify our Anti-Money Laundering Compliance Department immediately.

CONSUMER PRIVACY PROCEDURES

Annual Privacy Notices – Coming Soon

It is the firm’s policy to mail an annual Privacy Notice to you in December for the express purpose of informing you as to our policies and procedures in safeguarding your financial and personal information from outside parties.

If you do not receive a copy by year end, please notify the Compliance Department immediately at 1-800-510-2055 and report the error so we can correct the error and send you out another copy.

PERPETUAL ONGOING BUSINESSS ACTIVITIES

Business Continuity Plan and Procedures – Coming Soon

Our Firm has been mandated by the Securities Exchange Commission and FINRA to have on file a Business Continuity Plan in the event of another terrorist attack or a Significant and Serious Business Disruption to insure that we are in a position to continue to service you via e-mail, alternate business location, etc. Your files are also stored in an alternate back up location as well for your continued protection.