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PRINTRESETPage: 1 of 1 Version: 9/19/2017CHANGE OF BROKER DEALER AUTHORIZATION To: Fund CompanyDateTo: Insurance Company Address: City:State:Zip:Attention Broker/Dealer Service Department: This letter

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How to fill out change of broker dealer

01

Gather all necessary information and documents, such as your current broker dealer information, your new broker dealer information, and any relevant account numbers.

02

Contact your new broker dealer to initiate the change process. They will provide you with the necessary forms and instructions.

03

Review the forms carefully and fill them out accurately. Make sure to provide all requested information, including personal details, account information, and reasons for the change.

04

Attach any supporting documents requested by the new broker dealer, such as copies of identification or previous account statements.

05

Double-check all the information you have provided before submitting the forms.

06

Submit the completed forms and any supporting documents to your new broker dealer. They will guide you through the submission process, which may involve mailing the forms or submitting them electronically.

07

Follow up with your new broker dealer to ensure that your request for change of broker dealer is processed successfully. Keep track of the progress and any additional steps required.

08

Once the change of broker dealer is confirmed, make sure to update any necessary records or accounts with the new broker dealer information.

09

Review your new account with the new broker dealer and familiarize yourself with their platform, services, and policies.

Who needs change of broker dealer?

01

Individuals or entities who are dissatisfied with their current broker dealer services or have found a better alternative may need to go through a change of broker dealer.

02

Investors who are transferring their accounts from one broker dealer to another, either due to personal choice or because their current broker dealer is closing or changing their business model, also need to undertake a change of broker dealer.

03

Registered representatives or financial advisors who are switching broker dealer affiliations need to complete a change of broker dealer process as well.

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What is change of broker dealer?

Change of broker dealer refers to the process of notifying regulatory authorities about a change in the entity that acts as a broker dealer.

Who is required to file change of broker dealer?

Any entity or individual acting as a broker dealer is required to file a change of broker dealer when there is a change in the entity.

How to fill out change of broker dealer?

To fill out a change of broker dealer, the entity must provide detailed information about the change, including the new broker dealer entity, reasons for the change, and any relevant supporting documents.

What is the purpose of change of broker dealer?

The purpose of a change of broker dealer is to ensure that regulatory authorities are informed about any changes in the entity acting as a broker dealer, in order to maintain compliance with regulatory requirements.

What information must be reported on change of broker dealer?

The information that must be reported on a change of broker dealer includes the new broker dealer entity, reasons for the change, any changes in ownership or control, and any supporting documentation.

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