Forms Consulting

Forms Consulting for Broker Dealers

When you start looking at your Broker Dealer account forms as data entry tools, you may want our assistance in enhancing your forms. Do your forms meet FINRA’s Suitability requirements? What about Know Your Customer requirements? With the NTM 13-42 and the possibility of CARDS is your Broker Dealer prepared. If you are prepared are you talking advantage of On-Boarding system that uses the New Account Form for a data entry tool as well? Make sure your forms have done their reasonable diligence for every account to stay ahead of KYC, CARDS and Suitability information.

  • Age
  • Other investments
  • Financial situation and needs, annual income and liquid net worth
  • Tax status, such as marginal tax rate
  • Investment objectives, generating income, funding retirement, buying a home, preserving wealth or market speculation
  • Investment experience
  • Investment time horizon
  • Liquidity needs
  • Risk tolerance
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