Advisor Resources

You may print or download these forms. Adobe Reader or Microsoft Word may be required.

NaviPlan Standard & NaviPlan Extended
From simple needs analysis to full-scale financial plans, all of the tools you need to quickly engage clients and build more profitable client relationships are packaged into easy-to use levels in NaviPlan Standard and NaviPlan Extended.

DSTVision Instructions

Profiles Professional & Profiles Forecaster
Profiles Professional covers 13 personal and four business planning modules, enabling advisors to model simple or complex financial scenarios. The program’s flexible design accommodates goals-based planning plus performs cash flow-based projections. A library of more than 400 client reports features colorful, easy-to-read presentations.

Account Transfer Form/Change of Broker Dealer*
Use this form to transfer accounts from another broker or to transfer orphan accounts.

Processing Procedures

Investigo Login

New Business Transmittal Form

Public Disclosure Notice

Block Transfer Form
Block Transfers are permitted only if a releasing broker/dealer participates in "Negative Response Block Transfers".

Customer Identification Program Notice Form

Fingerprint Instructions

Office Ledger Form (Daily Transaction Log)*
Must be completed once a month and a copy mailed or faxed to (330) 666-6335.

Sample Transfer Letter (to Client)

Transfer of Agent/Broker Dealer of Record Instructions

U4 Form
(28 Pages - Takes time to download. Save to pc to type directly onto the form)

Annuitization Disclosure Form for Tier 2 Products

* We have Microsoft Word templates for the Transfer and New Account/Suitability Forms and the Office Ledger. You can type onto these forms instead of hand-write the information. If you are interested in these templates, call toll-free 1-866-766-6360 and we will email them to you.

Visit: www.nasd.com for more information on U4 and Fingerprint Instructions.