Account Information & Order Instructions
Account Information - Revised 11/2021
Client Information Sharing Form - Optional Form
Legal Entity Customer Due Diligence Certification Form - Required for legal entity customers
Order Instructions - Revised 05/2016
Investment Net Worth Calculation Worksheet - Required for DPP purchases
Order Instructions & Explanation of Investment-VA Initial Purchase - Required for initial VA purchases only--integrates Order Instructions, Explanation of Your Investment, and Letter of Acknowledgement forms into one omnibus form
AIC Blotters
AIC Checks Received Blotter (.pdf format)
AIC Checks Received Blotter (.xls format)
AIC Form CRS Delivery Log (.pdf format)
AIC Form CRS Delivery Log (.xls format)
AIC Trade Blotter (.pdf format)
AIC Trade Blotter (.xls format)
DOL
DOL Annuity Purchase Disclosure & Acknowledgment
PTE 2020-02 Representative Acknowledgment
ROLLOVER DOCUMENTATION - FROM A PLAN TO A PLAN
ROLLOVER DOCUMENTATION - FROM A PLAN TO AN IRA
ROLLOVER DOCUMENTATION - FROM AN IRA TO A PLAN
ROLLOVER DOCUMENTATION - FROM AN IRA TO AN IRA
Explanation of Investment Forms
Explanation of Investment-DPPs
Explanation of Investment-Mutual Funds & 529s
Explanation of Investment-Variable Life
Letters of Acknowledgement
Letter of Acknowledgement Regarding Change in Investment Portfolio
Letter of Acknowledgement Regarding Mutual Fund Purchases

DPP & 1031 Acknowledgements

1031 Conflict Of Interest Acknowledgement (Tax Advice)
1031 Initial Acknowledgement & Disclosure Statement
1031 Pre-Sale Acknowledgement With Suitability Disclaimer
Concentration Letter--Accredited Investor
Concentration Letter--Non-Accredited Investor
ARCTRUST III Acknowledgment
Cantor Fitzgerald Income Trust Acknowledgment
InPoint Commercial Real Estate Income (public) Acknowledgment
Lord Abbett Credit Opportunities Acknowledgment
Resource Real Estate Diversified Income Acknowledgement
Miscellaneous

Administrative

Change of Address Form
Change of Dealer-Insurance (Branch Office)
Change of Dealer-Mutual Funds (Branch Office)
Form W-9
Stock Power

Client Notices & Disclosures

AIC Form CRS
AIC Privacy Notice
Brokerage Account Fees
Business Continuity Plan Disclosure Statement
Commissions and Sales Charges

Compliance-Related

AIC Branch Office Complaint Log
Form U-4
Outside Business Activity Request for Approval
Request to be Named as Beneficiary, Executor, Trustee or POA
Seminar/Marketing Event Request Approval Form

DOI Related Disclosures

65 & Over Financial Products Disclosure
In-Home Insurance Sales Presentation
- Required when making sales presentations to California residents, age 65 or older, in their homes Notice Regarding Standards For Medi-Cal Eligibility

Indexed Annuities

Indexed Annuity Client Disclosure Form

Transaction-Related Documentation

DPP Net Worth Worksheet
Reg BI (Care Obligation) Due Diligence Checklist
NFS
Alternative Investment Transaction Checklist
Alternative Investment Transaction Request
Alternative Investments Addendum & Custody Agreement
Brokerage Account Application
Cash Management Premier Access - Use this form to add or remove ACH, checkwriting, and/or debit card features within your existing Brokerage account or upgrade an existing Select Access account to a Premier Access Cash Management account
Cash Management Select Access - Use this form to add or remove ACH, checkwriting, and/or debit card features within your existing Brokerage account or downgrade an existing Cash Management Premier Access Features account to individual cash management features
Cashiering Request Non-Retirement - Use this form to request a one-time transaction via Check Disbursement, Electronic Funds Transfer (EFT) or Bank Wire. Account owner signature is required for 3rd party transactions not using existing standing instructions.
Corporate and Unincorporated Organization Resolution
Financial Advisory Services Fee Request Form
Household Relationship Form - Required for Online & Statement Household Requests
Individual 401(k) Profit Sharing Plan
IRA Annual Maintenance Fee Payment Instructions
IRA Asset Movement Authorization
IRA Beneficiary Designation Form
IRA Checkwriting Application
IRA Contributions (or PIPs) by EFT - Enables client to make current year IRA contributions electronically to the core money market fund and also move core money to existing mutual fund positions
IRA Earnings Distribution Request Form - Used to request distributions of dividends, interest and/or capital gains from IRA accounts or to change an existing earnings distribution plan
IRA Kit - Contains forms needed to establish Traditional, Rollover, Roth & SEP IRAs and IRA-BDAs
IRA One-Time Distribution Request Form
IRA Periodic Distribution Request Form
IRA Recharacterization Request
IRA Standing Payment Instructions
IRA Trading and Money Movement Authorization
IRA Transfer Request Form for Spouse Beneficiary
Keogh Account Application - Used to establish accounts for?plan participants
Keogh Beneficiary Designation Change
Keogh Kit - Used to establish Money Purchase & Profit Sharing Plans
Keogh One-Time Distribution Request Form
Keogh Periodic Distribution Form
Margin Account Supplemental Application
NFS Irrevocable Stock or Bond Power
NFS Letter of Intent - Used for breakpoint pricing
NFS Limited Liability Company Agreement
Periodic Earnings Withdrawal Request (Non-Retirement)- Used to request distribution of dividends, interest and/or capital gains from a non-retirement account or to change an existing earnings distribution plan
Periodic Investment Form (Non-Retirement and Retirement)
Periodic Withdrawal Request (Non-Retirement)
Power of Attorney
Roth IRA Conversion Form
SEP-IRA Kit - Includes Form 5305-SEP
Signature Update Request Form
SIMPLE IRA Employee Kit
SIMPLE IRA Employer Kit
Standing Payment Instructions Form (Non-Retirement)
Trading and Money Movement Authorization (Non-Retirement)
Transfer of Assets Form
Transfer on Death Registration and Beneficiary Designation Form
Trusted Contact Authorization
Trustee Certification of Investment Powers (TCIP)
RIA
Advisory Fee Correction-Adjustment Form
Advisory Fee Waiver Request Form
Hourly Billing Fee Request
Investment Advisory Agreement - Revised February 2022
Compliance & Supervisory Procedures Manual
00.00 Forward
01.00 Personnel Licensing and Registration
02.00 Standards of Conduct
03.00 General Supervision
04.00 Continuing Education and Training
05.00 Books and Records Requirements
06.00 AIC Financial Reporting
07.00 Communications with the Public
08.00 Customer Accounts and Transactions
09.00 Privacy Policies and Procedures (Regulation S-P)
10.00 Anti-Money Laundering Procedures
11.00 OSJ Branch Office Procedures
12.00 Corporate Fixed Income Securities & TRACE
13.00 Direct Participation Programs
14.00 General Equities
15.00 Government Securities
16.00 Independent Contractors
17.00 Municipal Securities
18.00 Mutual Funds
19.00 Private Placements and Offerings
20.00 Variable Contracts

Exhibits

01.01 Exhibit- List of Supervisory and Registered Personnel
01.05 - Exhibit Termination Procedures
02.05 Exhibit - Reg BI Process Flow Chart
03.02 Exhibit - Supervisory Procedures Attestation
05.03 Exhibit - Books and Records Retention List
08.06 Exhibit - OATS Recording of Order Information
10.05 Exhibit - Legal Entity Customer Due Diligence Certification Form
11.01a Exhibit - OSJ Office Compliance Requirements
11.01b Exhibit - Non-OSJ Branch Compliance Requirements
11.01c Exhibit - Satellite Office Compliance Requirements
11.02 Exhibit - Designated OSJ Branch Office Review Cycle
Continuing Education & Training
Al Insight
Continuing Education Needs Analysis & Training Plan
Indexed Annuities
Indexed Annuities Frequently Asked Questions
Indexed Annuity Client Disclosure Form
Policies and Guidelines for Indexed Annuities
Miscellaneous
State registrations
AIC Cybersecurity Policy
AIC Signature Guarantee Policy
Do Not Call List
Office Compliance Requirements
OSJ Office Compliance Requirements
Non-OSJ Branch Compliance Requirements
Satellite Office Compliance Requirements
Seminars & Other Speaking Engagements
Seminar/Event Review Process
Seminar/Marketing Event Request Approval Form
Supplemental Guidance for Seminars/Events
A Guide to Your Brokerage Account Brochure - Describes how clients’ assets are protected
NFS Fee Schedule- Ticket Charges & Other Fees Associated with NFS Accounts
NFS Stock Certificate Procedures
Prospectus – Fidelity Capital Reserves - For Retirement Accounts
Prospectus – Fidelity Daily Money - For Non-Retirement Accounts
NFS Forms

Useful Links

Exchanges

Regulators

Resources/Tools

Technology/Software