New Account Checklist and Procedures for Rep as Manager and Wrap

This form details the procedures and paperwork needed to setup a rep as manager account and a wrap account.  Please include the front page with every new advisory account. Not for SMA/SAS Program.

Contracts

Representative as Manager Contract FS1 and FS2

Have client sign Page 10 and the appropriate fee addendum.  The questionnaire must be completed.  Hold your cursor over the input cells on the fee addendums to display the maximum allowable fee. 

NFS IRA Account Debit Authorization

This form must be signed for every retirement account in addition to the AFSIA contracts.  This is not applicable for SMA/SAS accounts.

AFS Investment Advisors, Inc. Form ADV Part II

This disclosure must be given to every client prior to them signing any contract or agreeing to any service.  The disclosure also includes our privacy policy, business continuity plan, and code of ethics.  We will also mail a copy of the disclosure to your client every year.

 Advisory Account Closeout Form