Get Financial Client Dossier Template 2020-2026

The Financial Client Dossier Template is an essential document designed to gather important information from clients establishing or updating an account with a registered investment advisor. This guide provides clear instructions to ensure you complete the form accurately and efficiently.

Follow the steps to successfully complete the Financial Client Dossier Template.

1. Click ‘Get Form’ button to obtain the form and open it in the editor.
2. Begin with the primary account holder section. Fill in all required fields, including owner name, social security number, birth date, and addresses. Be sure to specify your phone number and email address, and select your marital status.
3. Complete the USA PATRIOT Act information section. Select the ID type you will provide, input the state of issuance and ID issue date, and choose your citizenship status. If applicable, provide your ID number and expiration date.
4. Provide details about your employment status. Indicate whether you are employed, self-employed, retired, unemployed, or a student, and provide the necessary information related to your occupation and employer.
5. In the personal financial situation needs section, estimate your annual income, net worth, and annual expenses. Please answer questions regarding liquidity needs and tax rate.
6. If applicable, fill in the secondary account holder section by repeating the required steps in step 2 to step 5.
7. Review and ensure all sections are completed accurately. If updates are needed, return to the relevant fields.
8. Finally, sign the document to certify the information provided. Indicate your capacity if you are signing as a legal representative.
9. Once all sections are complete and signed, save your changes. You will have options to download, print, or share the document as needed.

Start completing your Financial Client Dossier Template online now to ensure a smooth process.