Get Advisor Registration Form Broker-dealer Blanket Consent In ...

Filling out the ADVISOR REGISTRATION FORM Broker-Dealer Blanket Consent In ... is a crucial step for advisors looking to direct custodial and related business efficiently. This guide will provide step-by-step instructions to assist you in completing the form accurately and submitting it online.

Follow the steps to complete the form effectively.

1. Click the ‘Get Form’ button to obtain the form and open it in the online editor.
2. Begin by filling out the general advisor information section, including your name, title, firm name, address, city, state, telephone number, fax number, e-mail address, and ZIP code. You will also need to indicate whether you are a registered investment advisor (RIA) by selecting 'Yes' or 'No'. If 'Yes', provide your RIA registration number and specify whether you are registered with the Securities and Exchange Commission (SEC) or state.
3. Move to the NYSE Rule 407 disclosure section. Indicate if you are currently affiliated with, employed by, or supervised by a member of a stock exchange or the Financial Industry Regulatory Authority (FINRA). If 'Yes', specify the firm name, your position, and the CRD number. Additionally, provide similar information for any member of your household if applicable.
4. In the data transmission section, select whether you would like to receive daily activity files. If 'Yes', complete the required information. If 'No', continue to the next section. Indicate if you are currently receiving data files from Pershing and provide the method of delivery if applicable.
5. Proceed to the monthly client information section. Indicate whether your firm would like to receive trade confirmations, monthly client brokerage account statements, or tax statements for accounts held through Pershing Advisor Solutions. If 'Yes', select your preferred method of delivery.
6. Fill out the signature section with the signature of the introducing advisor and date the form.
7. Review your completed form for accuracy. Once you have confirmed that all sections are filled out correctly, you can save your changes, download the form, print it, or share it as needed.

Take the next step in your advisory career by completing the ADVISOR REGISTRATION FORM online today.