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Appointment of Financial Professional (Broker of Record) Form 2026
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- Click ‘Get Form’ to open the Appointment of Financial Professional (Broker of Record) Form in our editor.
- Begin by filling out the Participant Information section. Enter your first name, last name, social security number, phone number, and email address accurately.
- Next, provide the Investment Firm/Agency Information. Include the firm’s name, street address (no P.O. boxes), city, state, ZIP code, phone number, fax number, website, and RIA Firm Number if applicable.
- Indicate whether the Investment Firm/Agency has completed the Investment Firm Set-Up Form & Agreement by selecting the appropriate option.
- Fill in details for both Primary Advisor and Secondary Contact sections including their names, phone numbers, emails, and IAR Rep IDs if applicable.
- Specify the annual basis point advisory fee that will apply to your account in the Investment Firm/Agency Fee section.
- Review the Participant Authorization section carefully before signing. Ensure you understand what access you are granting to your Financial Professionals.
- Finally, sign and date the form at the bottom to complete your submission.
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| Versions | Form popularity | Fillable & printable |
|---|---|---|
| 2025 | 4 Satisfied (34 Votes) | |
| 2025 | 4.8 Satisfied (31 Votes) | |
| 2025 | 4.3 Satisfied (34 Votes) | |
| 2025 | 4.2 Satisfied (34 Votes) | |
| 2025 | 4.6 Satisfied (55 Votes) | |
| 2025 | 4.5 Satisfied (44 Votes) | |
| 2025 | 4.2 Satisfied (37 Votes) | |
| 2025 | 4.7 Satisfied (34 Votes) | |
| 2024 | 4.3 Satisfied (21 Votes) | |
| 2024 | 4.6 Satisfied (51 Votes) | |
| 2024 | 4.5 Satisfied (23 Votes) | |
| 2024 | 4.8 Satisfied (29 Votes) | |
| 2024 | 4.1 Satisfied (28 Votes) | |
| 2024 | 4.9 Satisfied (51 Votes) | |
| 2024 | 4.4 Satisfied (31 Votes) |
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