Orientation
Your How-to Guide
Rep Login / Orientation
Operations Binder
Section 1 - Compliance
Orientation Verification
Communications with the Public Disclosure & Review Guidelines
Communication with the Public Compliance Approval
Communication with the Public Electronic Communications
Social Media LinkedIn Policy
LinkedIn Profile Request
Social Media Disclosures for Securities Business
Reminder
Personal Outside Brokerage Accounts
Books & Records
Rep Monthly Required Blotters
Processing Securities Certificates
AML & Identity Protection
Activity Escalation Report
Regulatory Fine Schedule
Authorization to Update U-4
Section 2 - Procedures
HOW TO PROCESS BUSINESS
FORMS GUIDELINES
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SmartOffice Accounts and Investment Thought Process
KCD RegBI NAF (AIF) Guidelines
RegBI NAF
NAF CUSTOMER DISCLOSURE BROCHURE
FINRA BD CLIENT DISCLOSURE
MEMORANDUM - Confirmation of Business Review
MUTUAL FUNDS INVESTMENT DISCLOSURE
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529 PLAN INVESTMENT DISCLOSURE
VARIABLE ANNUITIES INVESTMENT DISCLOSURE
Confirmation of Business Review For Alternative products
ALTERNATIVE INVESTMENTS (REITS, Private Placements, LP's, PIPE, 1031*, etc.) DISCLOSURE
Illiquidity Acknowledgement Fillable Form
BROKERAGE ACCOUNT DISCLOSURE FORM
Retirement Investing Questionnaire
Retirement Risk Tolerance Questionnaire
RETIREMENT INVESTMENT SUPPLEMENTAL DISCLOSURE
HOW TO TRANSFER CLIENT ACCOUNTS
KEY INFORMATION
CLIENT NOTIFICATION LETTERS
NOTICE TO CHANGE BROKER DEALER
IRA ROLLOVER FORM
IRA TO IRA ROLLOVER FORM
REDEMPTION OF SECURITIES TO A NON-SECURITIES PRODUCT
CUSTOMER ADDRESS PROCEDURES
CHANGE OF ADDRESS REQUEST FORM
KCD CLIENT LETTERS
NEGATIVE CONSENT LETTER
Beneficial Ownership Certification (FINCEN Form)
REP MONTHLY REQUIRED BLOTTERS - EXCEL
Section 3 - Quick Reference
Section 4 - Personal Records
Section 5 - Investment Advisor Representatives
KCD Form ADV Part 2A
KCD Combined Investment Advisory Agreement
HTS RIA Clearing Election Form
ILLINOIS 3rd party addendum
Investment Advisory Representative Training - Outline of Procedures
how to open or transfer ria accounts
Third Party Asset Managers
Investment Advisory Services REQUEST FOR ADVISORY FEE WITHDRAWAL
Investment Advisory Services INVOICE (FILLABLE)
RIA Termination Request Form