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CHANGE OF BROKER DEALER/ RIA FIRM/ REPRESENTATIVE AUTHORIZATION The purpose of this form is to authorize Madison Avenue Securities to request a change of Broker-Dealer Firm, Registered Investment
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How to fill out change of broker dealer:

01
Obtain the necessary forms: Contact the new broker dealer and request the appropriate forms for changing your broker dealer. Most broker dealers have specific forms for this purpose.
02
Review the forms and instructions: Carefully read through the forms and any accompanying instructions. Familiarize yourself with the process and the information required.
03
Gather required documentation: Collect all the necessary documentation as outlined in the forms and instructions. This may include personal identification, proof of business registration, financial statements, and any other relevant documents.
04
Complete the forms accurately: Fill out the forms accurately and provide all the requested information. Pay close attention to details such as account numbers, addresses, and dates.
05
Attach supporting documents: Attach any required supporting documents as outlined in the instructions. Make sure to include copies and not the original documents.
06
Sign the forms: Sign the forms where required and ensure that all required signatures are obtained, such as those from the new broker dealer and any authorized representatives.
07
Submit the forms: Submit the completed forms and supporting documents to the new broker dealer. Follow their specific submission instructions, which may include mailing, faxing, or uploading the forms online.
08
Follow up and verification: Contact the new broker dealer to confirm that they have received your change of broker dealer request. Keep a record of any confirmation or reference numbers provided.

Who needs change of broker dealer:

01
Individuals dissatisfied with their current broker dealer: If you are unsatisfied with the services or performance of your current broker dealer, you may consider changing to a different one.
02
Investors seeking better investment options: Changing broker dealers can open up a wider range of investment options. If you feel restricted by the offerings of your current broker dealer, switching to a new one could provide greater diversity and opportunities.
03
Businesses or individuals undergoing organizational changes: If your business is merging with or acquiring another company, or if you are going through any significant organizational changes, you may need to change your broker dealer to align with the new structure.
04
Relocation or change in address: If you are moving to a different location or changing your address, you may need to change your broker dealer to ensure smooth communication and account management.
05
Regulatory changes or compliance requirements: Changes in regulatory requirements or compliance standards may necessitate a change in broker dealer to ensure adherence to the new rules and regulations.
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Change of broker dealer refers to the process of notifying the appropriate regulatory authorities when a broker dealer decides to switch to a new broker dealer.
Any broker dealer that is switching to a new broker dealer is required to file a change of broker dealer.
The change of broker dealer form can typically be filled out online on the regulatory authority's website, providing all necessary information and documentation.
The purpose of change of broker dealer is to ensure that regulatory authorities are informed of any changes in broker dealers, allowing for proper oversight and monitoring.
The change of broker dealer form usually requires basic information about the broker dealer, the new broker dealer, and the reason for the switch.
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