Name *

First Name

Last Name

Phone *

(###)

###

####

Do you have your own RIA or are you an IAR with another firm? *

Own RIA

IAR

Do you have an admin and / or other support staff?

Yes

No

Do you use 3rd party money managers? *

Yes

No

Do you have trail commissions? *

Yes

No

Do you sell annuities? *

Yes

No

Do you bill any financial planning fees? *

Yes

No

Do you have any loans? *

Yes

No

Do you have any disclosures or disciplinary actions to report? *

Yes

No

Are you with a Broker/Dealer? *

Yes

No

Do you have a succession plan? *

Yes

No