Provides access to individual accounts for which you are the representative of record.You may enroll for one or more representatives at this level.
CRD Number: (Optional)
Provides access to all accounts assigned to your branch office. Branch level is appropriate for branch managers.
CRD Number: (Optional)
Provide access to all accounts assigned to your broker-dealer firm. Dealer level is appropriate for broker/dealer home offices.
Provides access to all accounts grouped under a single tax identification number. Tax ID access may be
appropriate for institutions that use a common Tax ID across their account base. Tax ID access
is not available at the shareowner Social Security number level.
Service Level Requirements
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Please select a service level to see requirements.
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Representative Level Requirements
For Mutual Fund, Alternative Investments, and Program Manager companies you will need...
Your branch and rep number(s) as registered with each management company.
One client account number for each requested management company.
For Annuity companies you will need...
The advisor's name, date of birth, and social security number.
One contract number for each annuity company request.
Branch Level Requirements
For Mutual Fund, Alternative Investments, and Program Manager companies you will need...
Your branch number(s) as registered with each management company.
One client account number for each requested management company.
For Annuity companies you will need...
The name, date of birth, and social security number of each representative in the branch.
One contract number for each annuity company request.
Dealer Level Requirements
For Mutual Fund, Alternative Investments, and Program Manager companies you will need...
One client account number for each requested management company.
For Annuity companies you will need...
The dealer Tax ID and a contract number for each annuity company request.
Tax ID Level Requirements
For Mutual Fund and Alternative Investment companies you will need...