Investments

Form CRS

Intake

Annuity Comparison

RegBI

Application Sent

Application Signed

Account Features:

Checkwriting

AMA

Standing Instructions

PIP/SWP

Rollover:

Statement for Rollover

Schedule Rollover Call

Rollover Checklist 1

Rollover Checklist 2

Rollover Checklist 3

CAT Form

Account Funding:

Account Funding Status

Contract Delivery

Invested in Model or Funds

Wrap Up:

Billing Group Check

Summary Email

eMoney

Online Access

Investment Wrap Up

Annuity Reminder

Client Review and Client Type

Form CRS

CRS/ Reg BI Sent

Forms in Practice360

Reg BI Template Letter MI1364 Click Here to Open Letter to complete

Intake

Client Name

Registration

Source of Funds

1

EFT Receipt
2

Transfer
3

Rollover x1
4

Rollover x2
5

Rollover x3
6

Check
7

Journal
8

1035 exchange

Type

Portfolio

1

Brokerage
2

BlackRock Equity Target ETF
3

Blackrock 90/10 Tax Aware
4

Blackrock 90/10
5

BlackRock 80/20 Tax Aware
6

BlackRock 80/20
7

BlackRock 70/30 Tax Aware
8

BlackRock 70/30
9

BlackRock 60/40 Tax Aware
10

BlackRock 60/40
11

AF Growth
12

AF Conservative Growth & Income
13

AF Global Growth
14

AF Moderate Growth
15

UMA
16

Other Managed
17

Prudential VA
18

Allianz Income VA
19

Allianz VA (no income)
20

Liberty Bankers
21

529

Details on Source- full or partial of each account

DCA- total amount, start date, frequency, periodic amount

eMoney Client/ Planning

Account Features

1

Checkwriting
2

Standing Instructions
3

PIP/ SWP
4

(Untitled Option)
5

(Untitled Option)

Advisor

Annuity Comparison

Annuity Intelligence Report

RegBI

Rightbridge App

Best Interest Workflow

1

Rightbridge saved as RB Name Risk Tolerance NQ or Q
2

Reg BI Documentation Notes

Application Sent

CAW - if Brokerage, VA, or 529

Managed Accounts ENV2

Application Signed

#, never include full number only last 4 with X as space for other numbers

Application Status

1

Signed
2

Not Signed
3

(Untitled Option)

Account Features:

Checkwriting

AMA

Standing Instructions

PIP/SWP

Rollover:

Statement for Rollover

1

Receive Statements
2

Verify Address
3

Verify Name
4

Changes to Marital Status?

Schedule Rollover Call

Rollover Scheduled Call

Rollover Checklist 1

Custodian

Rollover Custodian Phone #

Custodian Plan ID

Rollover 1 Requested Date or Forms Submitted Date

Forms Needed

1

Forms Sent
2

Forms Signed
3

Forms Submitted

Questions to clarify

Rollover Checklist 2

Custodian (Copy)

Rollover Custodian Phone # (Copy)

Custodian Plan ID (Copy 2)

Rollover 2 Requested Date or Forms Submitted Date (Copy)

Forms Needed

1

Forms Sent
2

Forms Signed
3

Forms Submitted

Questions to clarify (Copy)

Rollover Checklist 3

Custodian 3

Rollover Custodian 3 Phone #

Custodian Plan ID 3

Rollover 3 Requested Date or Forms Submitted Date (Copy) (Copy)

Forms Needed 3

1

Forms Sent
2

Forms Signed
3

Forms Submitted

Questions to clarify 3

CAT Form

Account Funding:

Account Funding Status

Source: {{form.Source_of_Funds}}

Add'l details: {{form.Details_on_Source-_full_or_partial_of_each_account}}

DCA: {{form.DCA-_total_amount,_start_date,_frequency,_periodic_amount}}

1

Transfer Initiated
2

All money received
3

Total initial money entered below

EFT Receipt Initiated

Journal Receipt Initiated

Contract Delivery

1

Contract Sent
2

Delivery Signed

Please note:

Please be aware your policy will not be mailed to you. You have the option to download your policy once it has been signed.

Invested in Model or Funds

Wrap Up:

Billing Group Check

Summary Email

1

Update regarding in outlook for A360 to the household and complete task

eMoney

Name: {{form.Client_Name}}

Account :{{form.#,_never_include_full_number_only_last_4_with_X_as_space_for_other_numbers}}

Initial:{{form.Anticipated_Initial_Investment}}

{{form.Details_on_Source-_full_or_partial_of_each_account}} delete if manually entered or linked

eMoney

Online Access

Investment Wrap Up

1

Household Statement
2

Account entered in A360 Household
3

Thank you Card
4

Dead file paper file
5

Change OneDrive Investment folder - add Terminated to the file name

Client Name:{{form.Client_Name}}

Registration{{form.Registration}}

{{form.#,_never_include_full_number_only_last_4_with_X_as_space_for_other_numbers}}

Anticipated Investment: {{form.Anticipated_Initial_Investment}}

Source of Funds:{{form.Source_of_Funds}}{{form.Details_on_Source}}

DCA, if applicable {{form.DCA-_total_amount,_start_date,_frequency,_periodic_amount}}

For reference: {{run.url}}

Annuity Reminder

Liberty Bankers Fixed- Schedule a "Simple Task" for 3 months prior to out of surrender year

Structured Annuities (Pru & Allianz) - set reminder 3 weeks prior to indexed date

Client Review and Client Type

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