WIS FORMS

As a Registered Representative of WIS, you need to focus your time on revenue generating activities such as client and asset acquisition.  WIS understands this unique business challenge.  In this section of Forms, we have provided the documentation necessary to help you grow and maintain your business.

We do our best to ensure that the documents and manuals 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

For use when requesting an ACH or Fed Fund Wire from a customer account. NOTE: If Fed Fund is is for an international wire the Fed Fund Wire – International WIre Disclosure must accompany the request.

This form authorizes Western International to send all correspondence, including, but not limited to statements, confirmations, notices, checks and securities to the updated legal and mailing address.

A notarized affidavit executed by the legal representative of an estate reciting the residence of the decedent at the time of death.

Confirmation that the client is the sole proprietor of the entity for which they wish to open an account.

The increasing e-Signature technology usage such as DocuSign requires us to ensure that our process in dealing with electronic document is aligned with current rules and regulations

TheReg E Dodd Frank Disclosure is needed for all international wires, in either USD or foreign currency.

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.

For use when client requests to move assets from one NFS account to another.

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.

Use when a foreign client’s legal address is a different mailing address or a US address. Each beneficial owner must provide a separate document.

Complete and submit the form to enable the client with online access. Through online access clients can go paperless for statements and confirms.

Customer acknowledges that this disclosure statement applies to transactions entered by the customer for execution through a designated trading system via the internet.

International Securities (Western International) believes that it is appropriate to set out those fees which may affect your account(s) but are not generally itemized, as are commissions on your printed confirmation or statements. These fees, which are subject to change, can include such charges as a wire fund fee, inactive fee or interest on hard to borrow securities.

Use this form to authenticate any name differences on an accounts. Do not use this form for registration changes or name changes.

This card is used for signature verification only and gives no financial or fiduciary authority on any account listed

A document separate from the stock certificate that is utilized when surrendering shares to the brokerage 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

Accompanies any and all new business established through WIS

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

Worthless Securities Release

Worthless Securities Release

Worthless Securities Release

Required disclosure to be used when purchasing a TIC / 1031

Annual certification & acknowledgement of Westerns policies & procedures

Use to change the broker-dealer of record at the Insurance or Mutual Fund Company

Use to record incoming and outgoing checks

Required disclosure to be used when purchasing Alternative Products

Required disclosure to be used when purchasing Mutual Funds

Required disclosure to be used when purchasing a Structured Product.

To be used when rolling an employee sponsored plan to an IRA

Used to verify course of certificates, as needed.

Use this form to confirm that the account is eligible to purchase new issues either because no restricted person holds a beneficial interest in the account, or because the account has implemented procedures to reduce the beneficial interests of all restricted persons or this account is exempt from the restrictions of FINRA Rule 5130.

Required disclosure to be used when purchasing a broker CD.

Use when client request to invest in a low price or illiquid investment on an unsolicited basis

To be used when converting a client account from commission based to managed.

Sales form for Mutual Fund “A” share/breakpoint

For use in transferring existing client accounts only

Used when switching a mutual fund from one fund family to another.

November 2012 Supplement must accompany the Option Disclosure to the customer.

Prior to buying or selling an option, investors must read a copy of the Characteristics & Risks of Standardized Options, also known as the options disclosure document (ODD). It explains the characteristics and risks of exchange traded options. Note: This document is 186 pages.

All outside business activity (activity that is not paid through Western International Securities) must be disclosed prior to engaging in in such actiivity. Use this form to begin the review process of any OBA.

Use to record incoming and outgoing certificates

Letter sent to client to confirm unsolicited transaction

Required disclosure to be used when purchasing or exchanging into Variable Annuity

Accompanies any and all new business established through WIS

Used for multiple (block) buy orders

Used for multiple (block) sell orders

Used when client request online trading through ClientToolkit. Account must be approved prior to submission of the Electronic Trading Disclosure

Fidelity International Trade Execution and Settlement Fees

Use anytime a Buy order is called, emailed or messaged into a Trading Desk (Western or third party) and the trade will not generate an electronic order ticket at the time of entry (e.g. Morcom& NetX360).

Use anytime a Fixed Income order is called, emailed or messaged into a Trading Desk (Western or third party) and the trade will not generate an electronic order ticket at the time of entry (e.g. Morcom& NetX360).

Use anytime a Mutual Fund order is called, emailed or messaged into a Trading Desk (Western or third party) and the trade will not generate an electronic order ticket at the time of entry (e.g. Morcom& NetX360).

Use anytime a UIT Rollover is called, emailed or messaged into a Trading Desk (Western or third party) and the trade will not generate an electronic order ticket at the time of entry (e.g. Morcom& NetX360).

Use anytime a UIT Trade order is called, emailed or messaged into a Trading Desk (Western or third party) and the trade will not generate an electronic order ticket at the time of entry (e.g. Morcom& NetX360).

Use anytime a Sell order is called, emailed or messaged into a Trading Desk (Western or third party) and the trade will not generate an electronic order ticket at the time of entry (e.g. Morcom& NetX360).

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

Approved Product List 7-2019

To induce Western International Securities to guarantee client signature(s)

WIS Organizational Chart 7-2019

ADV Part II A (Firm Brochure) must be provided to each client upon the opening of a managed account within the Western RIA. Use with managed accounts.

ADV Part II B (Rep Brochure). This disclosure brochure is specific to the rep and must be provided to each client upon the opening of a managed account within the Western RIA

This Agreement describes the terms and conditions pursuant to which Western acts as the executing broker for transactions placed by your Investment Advisor.

ERISA Consulting Services Agreement

Non-ERISA Consulting Services Agreement

Consulting Billing Statement

Client disclosure when an account is converted from commission-based to fee-based.

Required Template for Monthly/Quarterly Management Fees for RIA’s

Investment Management Agreement –Transaction Base Pricing with Schedules

Western International Securities Commission Pay Dates

Use to initiate or change representative commission direct deposits.

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(The Annuity Store)

 

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