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Get Financial Advisor Change Form - Rc Securities
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How to fill out the Financial Advisor Change Form - RC Securities online
Completing the Financial Advisor Change Form is essential for making updates regarding your Broker-Dealer firm or address. This guide provides step-by-step instructions to ensure you fill out the form accurately and efficiently.
Follow the steps to complete the form successfully.
- Click the ‘Get Form’ button to obtain the form and open it in your editor.
- Begin with Section One, where you will fill in your current information. Enter your Financial Advisor Name and Advisor Number in the allocated fields.
- Continue by entering your Phone Number, Fax Number, and Email Address. This information is crucial for communication regarding your change request.
- Move to Section Two for any new address and/or Broker-Dealer information. Again, fill in your Financial Advisor Name and Advisor Number.
- Affix a Medallion Signature Guarantee Stamp as required. This step is important for validation.
- Proceed to Section Three for signatures. Ensure that an Investor or Trustee signs, which is mandatory for IRA accounts.
- The Financial Advisor must also provide a signature. If applicable, an authorized agent from the brokerage firm can sign in place of the Financial Advisor.
- Finally, make sure to include a Medallion Guarantee and Corporate Resolution reflecting the authorized signature. Once you’ve completed all sections, save your changes, and choose to download, print, or share the completed form.
Start filling out your Financial Advisor Change Form online now to ensure your details are up to date.
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(§202(a)(11)) : "Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part ...
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