DIRECT BUSINESS PROCESSING

Transactions in alternative investments, variable annuities, application-way mutual funds and variable insurance business require additional information to ensure customers are properly informed of the features of the product. The following documents and procedures are required:

 

Variable Annuities

Copy of completed annuity application, Variable Annuity Disclosure Form and the WIS Client Agreement are sent to the representatives designated supervisor for review and approval. The representative will input the information related to the transaction into WIS’s Direct Blotter, www.wisdirect.com/mfva. Upon supervisor approval, the documentation is sent to the Compliance Team at compliance@wisdirect.com.

Direct Participation Program/REIT’s/Alternative

Copy of completed subscription/account agreement, DPP/REIT Disclosure Form, the WIS Client Agreement are sent to the representative’s designated supervisor for review and approval. The representative will input the information related to the transaction into WIS’ Direct Blotter, www.wisdirect.com/mfva. Representatives are required to complete product training through AI Insight in connection with the recommendation of a DPP/REIT. Upon supervisor approval, the documentation is sent to the Compliance Team at compliance@wisdirect.com.

Application-Way Mutual Funds and Variable Insurance

Mutual Funds – Copy of completed application, the WIS Client Agreement, and Mutual Fund A Share Breakpoint Sales For are sent to the representative’s designated supervisor for review and approval. The representative will input the information related to the transaction into WIS’ Direct Blotter, www.wisdirect.com/mfva. Upon supervisor approval, the documentation is sent to the Compliance Team at compliance@wisdirect.com.

Variable Insurance – Copy of completed application, the WIS Client Agreement, are sent to the representative’s designated supervisor for review and approval. Upon supervisor approval, the documentation is sent to the Compliance Team at compliance@wisdirect.com.

INSURANCE Quick Links

CPS Insurance Services

Highland Capital Brokerage

Producer's Choice Network

TruChoice Financial Group
(The Annuity Store)

INSURANCE Quick Links

Highland Capital Brokerage

 

INSURANCE Quick Links

Producer's Choice Network

 

INSURANCE Quick Links

TruChoice Financial Group
(The Annuity Store)

 

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