FIDELITY FORMS

To assist you as a Representatives of WIS, in keeping your focus where it belongs, on your business, below is a list of Fidelity’s most commonly used account types as well as a link to the required forms for each of these account types.

For accounts that are not listed, please verify with our Operations department to determine which forms are required.

We will continually be adding other forms. Please contact Operations for any form not currently listed.

We do our best to ensure that the documents found in this section are the most current. Should you decide to keep any of these documents on your desktop, we recommend you review the forms on a consistent basis to confirm those you have are the most recent.

Form

Description

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Supporting documentation required for Corporate Accounts

Required for Taxpayers Identification Number and Certification

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Required for all legal entities.  Used to gather information of who owns, controls and profits from the legal entities. Must include Seal or Articles of Incorporation.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Required for Taxpayers Identification Number and Certification

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Copy sufficient to open account

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Copy sufficient to open account.  Notary required on document.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Use this form to establish a Transfer on Death (“TOD”) Individual account registration and to designate a beneficiary(ies) for your Transfer on Death (“TOD”) account.

Required for Taxpayers Identification Number and Certification

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

This is the agreement for your IRA account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Sent to clients who have alternative investment in their retirement account.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

***

If number one and an IRA account is already open, please skip 1 & 2

1.  Establish an IRA account using this Premiere Select IRA Application

2.  Include a WIS Client Agreement

3.  Include a copy of the original IRA owner’s death certificate

4.  Complete and submit this IRA Transfer Request for Spousal Beneficiary

5.  If the Beneficiary wants to distribute funds to himself he would complete this IRA distribution form

6. This is the agreement for your IRA account. It describes the features and policies associated with the  account. Provide to client to keep for their records.

7. Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting  Beneficial Owners on the account held with Fidelity.

8. WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally  itemized, (as commissions are) on your printed confirmation or statements.

1.  Establish an IRA account using this IRA Application – Select Traditional DBA Based on this selection Fidelity  moves the assets themselves to the newly established account.

2.  Include a WIS Client Agreement

3.  Include a copy of the original IRA owner’s death certificate

4.  If the Beneficiary wants to distribute funds at any time, they would complete this IRA Distribution form

5. This is the agreement for your IRA account. It describes the features and policies associated with the  account. Provide to client to keep for their records.

6. Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting  Beneficial Owners on the account held with Fidelity.

7. WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally  itemized, (as commissions are) on your printed confirmation or statements.

1.  Establish an IRA account using this IRA Application – Select Traditional DBA Based on this selection Fidelity  moves the assets themselves to the newly established account.

2.  Include a WIS Client Agreement

3.  Include a copy of the original IRA owner’s death certificate

4.  If the Beneficiary wants to distribute funds at any time, they would complete this IRA Distribution form

5. This is the agreement for your IRA account. It describes the features and policies associated with the  account. Provide to client to keep for their records.

6. Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting  Beneficial Owners on the account held with Fidelity.

7. WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally  itemized, (as commissions are) on your printed confirmation or statements.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

This is the agreement for your IRA account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Sent to clients who have alternative investment in their retirement account.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

This is the agreement for your IRA account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Sent to clients who have alternative investment in their retirement account.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

This is the agreement for your IRA account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Premiere Select IRA Application signed and dated by the account owner and a principal from WIS

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

IRS Simplified Employee Pension Individual Retirement Accounts Contribution Agreement

This form allows WIS to give verbal instructions to Fidelity to distribute funds out of an account to the owner of the account including overriding standing instructions. WIS WILL still require written instructions from the client on file before requesting any distribution. WIS approves Level 1 only.

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Sent to clients who have alternative investment in their retirement account

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Index as to the required pages of the SIMPLE documents

Includes the following forms:  Company Profile, Adoption Agreement, Employee Summary Plan Description, SIMPLE IRA Application, Plan Agreement, Custodial Agreement, Customer Agreement, Salary Reduction Agreement

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Use this form to elect to establish payment for the annual maintenance fee for the Premiere Select (Name the IRA type: Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA).  Use one form per IRA account

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Use this form to authorize the transfer of assets currently at another firm to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Use this form to establish a Transfer on Death (“TOD”) Joint Tenant With Rights of Survivorship account registration and to designate a beneficiary(ies) for your Transfer on Death (“TOD”) account.

Required for Taxpayers Identification Number and Certification

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Required to open a Joint account.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Required for Taxpayers Identification Number and Certification

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Required for all legal entities.  Used to gather information of who owns, controls and profits from the legal entities.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Supporting documentation required for Partnership Accounts.  Include pages naming partners and officers.  Must be a signed and dated document.

Required for Taxpayers Identification Number and Certification

Required for all legal entities.   Used to gather information of who owns, controls and profits from the legal entities.

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

This is the agreement for your IRA account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Use this application to establish a Premiere Select Retirement Plan – Individual 401(k) Profit Sharing Plan account (hereafter referred to as “Individual 401(k) account” or “account”) with your Broker/Dealer to be held at Fidelity Clearing & Custody Solutions (Fidelity).

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Required for Taxpayers Identification Number and Certification

Plan Documents for all Non-Prototype IRA are required

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Required for Taxpayers Identification Number and Certification

Plan Documents for all Non-Prototype Retirement Plan (NP) are required

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

To Open and Administer Securities Accounts(s)

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

*** One WIS Agreement is needed for each participant including the employer

Premier Select Retirement Plan MPP-PSP Page Index & Page Instructions

A Prototype Plan.  For use with the Premiere Select Retirement Plan, Basic Plan Document No. 08

Use this form to add or change the beneficiaries (“beneficiary”) for your Premiere Select Retirement Plan account. Do NOT use for Premiere Select IRAs and nonretirement accounts.

This is the agreement for your IRA account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Used to request a distribution from your Premiere Select Retirement Plan Account (“PSRP Participant Account”) or Premiere Select Retirement Plan Beneficiary Distribution Account (“PSRP-BDA,” together with PSRP Participant Account, “PSRP Account”). If you wish to request a distribution from more than one PSRP Account, you must complete a separate form for each PSRP Account.

Accompanies any and all new business established through WIS

Use this form to establish (or, add or change at a later date) Trustee information on a Trust account

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Supporting documentation required for Trust Accounts

Required for Taxpayers Identification Number and Certification

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Accompanies any and all new business established through WIS

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Required for Taxpayers Identification Number and Certification

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

Use this form to establish, change, or revoke instructions for paying the annual maintenance fee for your Premiere Select Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (BDA) or Roth IRA BDA, referred to as “IRA” or “account,” held through Fidelity. Use one form per IRA account.

For use with Fidelity PSP & MPP Retirement Plans for One Time Distribution

This form can be used to request a one -time distribution or a periodic distribution for firms that have 3rd party options for an account. A separate form must be completed for each account. The information below provides best practices when submitting the form. This does not cover every required field. It is important to review all information on the form carefully.

The information in this job aid provides best practices when submitting the form. This does not cover every required field. It is important to review all information on the form carefully.

Encompasses One Time & Periodic Instructions.  One form per request.

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Use this form to recharacterize: • Annual contributions you made to a Traditional IRA as annual Roth IRA contributions; • Annual contributions you made to a Roth IRA as annual Traditional IRA contributions; • Conversion contributions you made to a Roth IRA back to the original Traditional IRA, SEP-IRA, or SIMPLE IRA (“deconverting”); or • Qualified rollover contributions you made to a Roth IRA or Roth IRA Beneficiary Distribution Account (Roth IRA BDA) from a workplace savings plan to a Traditional IRA or Traditional IRA Beneficiary Distribution Account (IRA BDA). Do NOT use this form for a conversion or reconversion.

Allows ADVISOR to specify the dollar amount distributed to the client at the time of distribution. WIS approves Level 1 only.

Use this form to establish, change, or delete standing Bank Wire, Electronic Funds Transfer (“EFT”), Journal and/or Check Disbursement instructions on your Premiere Select Traditional, Roth, Rollover, SEP or SIMPLE IRA, IRA Beneficiary Distribution Account (“BDA”), Roth IRA BDA, Premiere Select Retirement Plan account, or Retirement Plan BDA, held through Fidelity Clearing & Custody Solutions (Fidelity). Do NOT use this form for nonretirement accounts.

Allows ADVISOR to specify the dollar amount distributed to client at the time of distribution.

Standing instructions first and third party

Do not submit this form to Fidelity Clearing & Custody Solutions (Fidelity). Ensure that your Home Office has processed the request. Fidelity approvals are not required within Integrated Cashiering Platform (ICP) for nonretirement standing payment instructions.

Use this form to request a one-time transaction via Check Disbursement, Electronic Funds Transfer (“EFT”) or Bank Wire.

Use this form to establish, change, or delete an earnings withdrawal plan for your nonretirement account held through Fidelity Clearing & Custody Solutions (Fidelity). Use one form for each account.

Use this form to establish, change or delete a periodic withdrawal plan on your nonretirement account held through Fidelity Clearing & Custody Solutions (Fidelity). Use one form for each account.

Use this form to establish, change, or delete standing Bank Wire, Electronic Funds Transfer (“EFT”), Journal and/or Check Disbursement instructions on your brokerage account. Do NOT use this form for Premiere Select® Retirement Accounts.

Use this form to request that your Broker/Dealer identify all account owner(s) (“you”) as Objecting Beneficial Owners on the account held with Fidelity.

Use this form to send foreign currency that is currently in your account with Fidelity Clearing & Custody Solutions (Fidelity) to a bank account that you designate below. If you do not hold the currency, you must perform the currency exchange prior to submitting this form.

Use this form (for non-internationally enabled accounts) to convert U.S. dollars (USD) to a certain currency and bank wire out from your account held with Fidelity Clearing & Custody Solutions (Fidelity) to a foreign financial institution.

Allows account holder to set up scheduled incoming EFTs their retail or retirement accounts.  Can also be used for systematic purchases of mutual funds.

Use this form to recharacterize: • Annual contributions you made to a Traditional IRA as annual Roth IRA contributions; • Annual contributions you made to a Roth IRA as annual Traditional IRA contributions; • Conversion contributions you made to a Roth IRA back to the original Traditional IRA, SEP-IRA, or SIMPLE IRA (“deconverting”); or • Qualified rollover contributions you made to a Roth IRA or Roth IRA Beneficiary Distribution Account (Roth IRA BDA) from a workplace savings plan to a Traditional IRA or Traditional IRA Beneficiary Distribution Account (IRA BDA). Do NOT use this form for a conversion or reconversion.

Beneficiary Designation – Form to designate beneficiary on the retirement account

Use this form to establish checkwriting on your Premiere Select Traditional IRA, Rollover IRA, Roth IRA or SEP-IRA (collectively “IRA”).

Use this form to add or change the beneficiaries (“beneficiary”) for your Premiere Select Retirement Plan account. Do NOT use for Premiere Select IRAs and nonretirement accounts.

Use when converting a Premier Select IRA to a ROTH

Use this form to provide additional information that can be used for the purpose of completing your Form 990-T filing.

Use this form to authorize the transfer of assets, currently at another firm, to your brokerage account held at Fidelity Clearing & Custody Solutions.

This checklist outlines the steps and documentation required to purchase an alternative investment after the asset in question has been operationally accepted for custody.

Go to NFS-What you Need to Know – What You Need to Do for more information on how “To purchase an Alternative Investment to HOLD in an IRA account or a Retail account at NFS, the client needs”; or “To purchase an Alternative Investment using funds in Retail Account and hold at the AI direct – not at NFS.”

Use this form to request all types of Alternative Investment transactions except capital call requests.

Use this form to request all types of Alternative Investment transactions except capital call requests. DO NOT complete this form to request a purchase in a Premiere Select® Retirement Plan Account.

This form is required to in order for Fidelity to hold any Alternative Investment in a client’s retail or retirement account.

This is the agreement for your brokerage account. It describes the features and policies associated with the account. Provide to client to keep for their records.

To add an additional signer to one’s check-writing.  Only to be used for Individual and Joint accounts. This does not remove a signer.

Certifies the validity and effectiveness of a Durable Power of Attorney (“POA”) on the clients account.  Only needs to be signed by the POA agent.  NOTE:  Document states notary but signature guarantee is acceptable.

WIS believes that it is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

Use this form for your Premier Access Account to: • Upgrade or downgrade a new or existing account to Brokerage Portfolio or Brokerage Access. • Upgrade an existing account from Brokerage Access to Brokerage Portfolio or downgrade from Brokerage Portfolio to Brokerage Access. • Add or remove checkwriting and/or debit card features within your existing Brokerage Portfolio or Brokerage Access account.

Required for requests to update cost basis with customer provided information. Requests should be submitted only when too large to easily enter in Wealthscape. Spreadsheet Includes: Sample, Column Definitions, & Instructions.

Use this form for your Select Access Account to: • Upgrade or downgrade Select Access Account  • Add or remove checkwriting and/or debit card features Select Access account.

This is the step-by-step process for an advisor to submit a Mutual Fund conversion request form through the Wealthscape platform.

Use this form to request a mutual fund shares class conversion

Account holders who share the same exact mailing address, but do not meet the criteria for automatic householding, may use this form to create a new Household Relationship, add to an existing Household Relationship, or to modify an existing Household Relationship.

This form must be completed if the registration on the certificate being deposited into a Fidelity account does not match the account registration of the brokerage account.

Margin Account Privileges Supplemental Application for Fidelity signed and dated by the account owner and a principal from WIS.

Use this form to request that a multiple margin relationship (“Relationship”) be established for an existing Brokerage Account with margin privileges that is held with Fidelity Clearing & Custody Solutions (Fidelity), to add a Brokerage Account to an existing Relationship, or to request approval to de-link a Brokerage Account from an existing Relationship.

Use this form to add options privileges to an existing brokerage account.

Use this form in conjunction with the Transfer of Assets form to list additional assets to be transferred to your Fidelity account.

Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals)

To be used with Existing W8 for recertification.   Inclusion of TIN and DOB or act as Letter of Explanation as to why a Foreign TIN is missing

Investment Management Agreement –Transaction Base Pricing with Schedules

Use this form to grant trading to a Third-Party Agent (“Agent for your brokerage account (“account”)) held through WIS.

Use to request online access and to authorize WIS to link brokerage account(s).

Authorizes WIS to send all correspondence, including, but not limited to statements, confirmations, notices, checks and securities to a PO Box.

INSURANCE Quick Links

Highland Capital Brokerage

 

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Producer's Choice Network

 

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TruChoice Financial Group
(The Annuity Store)

 

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