Successor Instructions

Broker-Dealer:

• An updated Form BD, including Schedules A-E via the WebCRD, if necessary.
• An invoice will be sent after the agents have been transferred listing their names and requesting $10.00 per agent.

Investment Adviser:

• Form ADV for the successor - No Fee Required.

Investment Adviser Representative:

• Page 1 of Form U-4
  (Not required if the investment adviser representative maintains an up-to-date U-4 with the CRD);
• Investment Adviser Representative Applicant/Management Certification Form; and
• $50.00 for each Investment Adviser Representative