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Suitability – Broker-Dealer (Commission) v. RIA (Fee) Account – Client Acknowledgement

August 15, 2019

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Suitability – Client Letter – Confirming Accounts & Objectives

August 15, 2019

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Suitability – Recommending Proprietary Investment or Fund Checklist

August 15, 2019

This sample checklist is intended for use when an investment adviser firm recommends to (or selects for) its retail investment advisory client a proprietary investment or fund which is sponsored or otherwise involves the investment adviser firm, its affiliates or its related persons. Last updated in February 2023. Included with Silver, Gold, Platinum & Titanium packages.

If you do not belong to one of these packages and would like to access this form, it can be purchased a la carte:Here

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Suitability – Rep Did Not Solicit or Recommend Investment – Investor Acknowledgement

August 15, 2019

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Suitability – Retirement Plan Rollover – Client Acknowledgement

August 15, 2019

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Suitability – Risk Tolerance Questionnaire for Clients

August 15, 2019

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