New Advisor Checklist

Applicant Information
Name: *
Name:
Date
Date
Address:
Address:
Phone:
Phone:
Broker-Dealer/RIA Information
Phone:
Phone:
Address:
Address:
From (xx/xx/xxxx) - (xx/xx/xxxx)
May we contact your previous OSJ for a reference?
Phone:
Phone:
Address:
Address:
From (xx/xx/xxxx) - (xx/xx/xxxx)
May we contact your previous OSJ for a reference?
Asset Review
Are fees wrapped?
Managed Accounts?
If yes please check the money managers your currently or would like to use below: (1-6)
Solicitors agreements used?
1) Assetmark:
2) FTJ Fund Choice:
3) I-Series:
4) Loring Ward:
5) Morningstar:
6) Rochdale:
Current Technology:
END CLIENT NEEDS: (1-4)
1) Checking:
2) Debit Card:
3) Move Money
4) Advisor Client access
Miscellaneous Information:
Emergency Contact Information:
Name:
Name:
Address:
Address:
Phone:
Phone:
Disclaimer and Signature
I certify that my answers are true and complete to the best of my knowledge. *
If this application leads to employment, I understand that false or misleading information in my application or interview may result in my release. *
Date: *
Date:

Thank you for your interest in Continuum Advisory LLC. We will contact you soon!