RIA Paperwork Submissions

RIA Paperwork Submissions Unless indicated below, all of the following forms are to be emailed/mailed to the attention of Janelle Youse ([email protected]) with Denise Brochu ([email protected]) being copied on the email. Non-Registered Personnel RE-F635 Required for Non-Registered Personnel, all others (licensed assistants and advisors) are onboarded through LPL. Termination Request - Independent Advisor and Hybrid RIA F649. Required when an access person is resigning voluntarily. *529 Checklists Required for each initial 529 plan purchase. Once signed, form will be uploaded to ClientWorks under direct business account and returned back to sender. *Structured Products Required to be completed BEFORE the initial purchase of a structured product. Once signed, form will be uploaded to ClientWorks and returned back to sender. *Investment Advisor Option Agreement F6-HYB Required to be completed by the ADVISOR to be approved to trade options. (This is only submitted once.) Once signed, form will be returned to sender. *SWM Options Agreement F6-HYBR Required to be completed BEFORE the initial option purchase in the client account. Once signed, form will be uploaded to ClientWorks and returned back to sender. Signature Guarantees All original documentation needs to be provided to Denise Brochu along with a current copy of the client’s driver’s license. Instructions should be provided where to send the paperwork when signed. Non-Cash Compensation Log F151D Required to be completed for any gift/entertainment given or received. If you do not have any compensation to report, you are still required to submit a blank log quarterly. Do not combine years on the form. Each year needs to be separate. Do not combine individuals. Each person needs their own form. Financial Planning Required when charging a flat or hourly fee for financial planning/consulting. The Good Life Financial Planning Agreement AND Good Life Financial Planning - Schedule A along with a check made payable to ‘Good Life Advisors, LLC’. If as part of the plan, you are making recommendations on the client’s retirement plan assets, you will also need to submit the “Retirement Participant Consulting Advice Program Agreement”. The plan needs to be delivered within 6 months or the client will be reimbursed. No payment should be sent directly to the Controller. *If using e-signature, use 4001 as the code for Conor Delaney’s signature. Good Life Companies is a stand-alone entity providing real estate, infrastructure, technology, training, marketing and support to independent professionals throughout the United States.