Adrienne Horen "Ask Adrienne"
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Forms & Procedures
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Account Changes:
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Account Change form - to update address and/or telephone number changes. Also, to add/delete/update of address for duplicate statements or confirmations.
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Client Profile Update - material changes in client investment profile (e.g. occupation, objective, annual income, net worth, risk tolerance).
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Limited Trading Authorization - allows broker to discuss investment recommendations with another individual at client's request.
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Form W-9 - allows any corrections to be made to a Tax identification number.
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Change of Dealer form:
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Mutual Funds -- changes broker/ dealer of record on fund companies records(must have sales agreement with company).
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Annuities - separate form to change broker/dealer of record on annuities only.
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Cash Requests:
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Federal Funds Wire Form
- allows for transfer of cash from JMS account to client's bank.
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Direct Deposit/Withdrawal - sets up automatic transfer of funds from client's bank account to JMS account on a periodic basis or vice-versa.
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Check Deposit Slips:
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Blank Check Deposit Slip - May be used in conjunction with the deposit of checks to JMS account (not a requirement).
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IRA Forms:
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Distribution Request:
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Traditional/Rollover/Roth/SEP/SIMPLE - must be completed to withdraw any money from the account.
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Qualified Plan - "JMS Custodian" Plans only and requires spouse's signature.
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Distributions Upon Death:
Note: original death certificate must accompany all death distribution requests.
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Traditional/ROTH IRA - to be completed when distibuting assets to beneficiaries along with original death certificate (in the case of a Trust - must also include "Trust Certification Form").
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Beneficiary Traditional IRA Election Required IRA Distributions - to fulfill required minimum distributions which have not been taken prior to death.
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Beneficiary ROTH IRA Election Required IRA Distributions - same as above but for ROTH IRA accounts only.
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Beneficiary Designation Change Form:
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IRA - please complete when changing current beneficiaries on file.
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Defined Contribution Plan - used for "JMS Custodian" qualified Plans only.
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Trust Certification Form - to be completed and attached for the following reasons:
Trust has been designated as Beneficiary Death distributions to a Trust.
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IRA to IRA Transfer Form - to be completed when transferring IRA assets from one brokerage account to another (except ROTH IRA's - use designated form).
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IRA Rollover Documentation Form - must be completed as documentation of the origin of rollover funds (cash only) that have been deposited into JMS Custodian retirement accounts.
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Direct Rollover Authorization Form - to be used if Employer Plan that you are rolling over to Janney requires acceptance from JMS as the receiving Plan Custodian.
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Form 5305-SEP - to be used when opening a SEP-IRA (must accompany new account form) and, also, to change a Traditional IRA to a SEP-IRA.
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Form 5305A-SEP - to be completed and signed by all Employers who still maintain grandfathered SARSEP.
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Journal Letter for IRAs and Qualified Plans - allows to journal cash from a retail account to a Janney IRA or Janney Qualified Plan for contribution purposes, fees, etc.
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Miscellaneous Forms:
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Letter of Authorization - This form is designed to facilitate the deposit, transfer, registration, or payment of money and/or securities involving a third party.
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Irrevocable Stock or Bond Power - to be signed when depositing physical certificates into an account.
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Certification of Fiduciary Authority - eliminates the need to obtain copies of Trust documents, Pension & Profit Sharing Plan documents, Wills, etc. This document must be NOTARIZED (no exceptions).
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Associated Person Information Form - to be completed when opening an account that has more than one Fiduciary who will have trading authorization over the account.
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JMS Partners Account Agreement - must be signed when establishing a fee based account.
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Corporate Resolution - to be completed when opening a Corporate account. There is a separate form for Non-Profit Corporations.
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Non-Corporate Resolution - to be completed when opening a Non-Corporate account.
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Affidavit of Residence - to be completed when requesting transfer of stock from a deceased person's name.
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