Quicklinks to Form Selections [downloads]
 

• Folio Account Forms
• Account Maintenance
• Account Setup
• 3rd Party Forms
• Compliance Forms
• Broker Logs
• Direct Accounts
• Disclosure Forms
• IRA Forms
• Securities Forms
• Trade Forms
• Advisory Services Forms

 FOLIO ACCOUNT Forms

Please provide your client(s) with the Client Disclosure Documents and the Privacy Policy Statement which can be found under Ridgeway Advisory Services Forms

• Account Transfer Form
• Beneficiary IRA Ammendment Form
• Corp and Other Account Opening Form
• Corporate Agreement Form
• Custodial Agreement Form
• EFT Transfer Authorization Form
• Folio New Account Application
• Investment Management Agreement Form [word] [pdf]
• IRA Distribution Form
• IRA Simple Employee Certification Form
• IRA Simple Employer Certification Form
• IRS W9 Form

Ridgeway and Conger Account Maintenance Forms
 

• ACCOUNT MAINTENANCE - Account Information Update - Address etc. 
• ACCOUNT MAINTENANCE - Affidavit of Domicile
• ACCOUNT MAINTENANCE - Associated Person Form
• ACCOUNT MAINTENANCE - Check Request Form *UPDATED*
  The form to fill out when requesting a check from a client's account.
• ACCOUNT MAINTENANCE - Cost Basis Updates to Client Accounts
  please fill out this form if you would like cost basis updated on an account
• ACCOUNT MAINTENANCE - Letter of Authorization
• ACCOUNT MAINTENANCE - MoneyLink Electronic Funds Transfer
  To set up an ACH in to or out of an account
• ACCOUNT MAINTENANCE - Statement Consolidation Householding
• ACCOUNT MAINTENANCE - Third Party Waiver
• ACCOUNT MAINTENANCE - Web Site Account Householding
• ACCOUNT MAINTENANCE - Wire Instructions (to Legent)
• ACCOUNT MAINTENANCE - Wire Request *UPDATED*
  The form to use when requesting a wire from a customer's account.
• ACCOUNT MAINTENANCE - Signature Guarantee Request

Ridgeway and Conger Account Setup Forms
 

• ACCOUNT SETUP - Account Guarantee Form
   
• ACCOUNT SETUP - Account Transfer Form
  ACAT
• ACCOUNT SETUP - Certificate of Partnership
   
• ACCOUNT SETUP - Certificate Of Sole Officer
   
• ACCOUNT SETUP - Certificate of Sole Proprietorship
   
• ACCOUNT SETUP - Checkwriting and/or Visa Form *UPDATED*
  This form will get you a visa card and/or checks to write against your money market balance.
• ACCOUNT SETUP - Checkwriting/Visa Services Agreeement *NEW*
   
• ACCOUNT SETUP - Corporate Resolution
   
• ACCOUNT SETUP - CUSTOMER AGREEMENT
   
• ACCOUNT SETUP - Full Trading Authorization
   
• ACCOUNT SETUP - Institutional Form
   
• ACCOUNT SETUP - Interested Party Authorization Form
   
• ACCOUNT SETUP - Limited Trading Authorization
   
• ACCOUNT SETUP - LLC Resolution
   
• ACCOUNT SETUP - Margin Agreement
  Required when opening a Margin account.
• ACCOUNT SETUP - New Account Form *UPDATED*
  The form to fill out when opening any non-IRA account.
• ACCOUNT SETUP - Non-Incorporated Association Resolution
   
• ACCOUNT SETUP - Option Agreement
  Required when opening an Option account.
• ACCOUNT SETUP - Trading Authorization for Investment Club Accounts
   
• ACCOUNT SETUP - Transfer On Death Form *UPDATED*
   
• ACCOUNT SETUP - Trust Certification
  Required to open a Trust account.

Ridgeway and Conger 3rd Party Forms 

• 3rd Party - Letter of Authorization [Wires]

• 3rd Party - Letter of Authorization [check]

• 3rd Party - Letter of Authorization [Wire or Check]

• 3rd Party - letter of Authorization Journal Request  

Ridgeway and Conger Compliance Forms

• AML Compliance

Ridgeway and Conger Broker Logs Forms

• BROKER LOGS - Check Log
   
• BROKER LOGS - Mail Log
   
• BROKER LOGS - Securities Log

Ridgeway and Conger Direct Accounts Forms

• DIRECT ACCOUNTS - Change of Broker/Dealer Authorization
  Fill this out to change the Broker/Dealer of record on accounts held direct at the fund company.
• DIRECT ACCOUNTS - Direct Account Application RC
  To be completed in addition to fund company paperwork when opening an account directly at a fund/life/annuity company.
• DIRECT ACCOUNTS - Direct Account Application RCAS
  To be completed in addition to fund company paperwork when opening an account directly at a fund/life/annuity company. (FOR ADVISORY REPS ONLY)

Ridgeway and Conger Disclosure Forms

• DISCLOSURES - Breakpoint Checklist
   
• DISCLOSURES - Breakpoint Disclosure Statement
   
• DISCLOSURES - Breakpoint Worksheet
   
• DISCLOSURES - Margin Disclosure Statement
   
• DISCLOSURES - Mutual Fund Disclosure Document
   
• DISCLOSURES - Penny Stock Customer Suitability Statement
   
• DISCLOSURES - Penny Stock Required Disclsosure under Rule 15g-2
   
• DISCLOSURES - Penny Stock Risk Acknowledgement Letter
   
• DISCLOSURES - Special Statement to Uncovered Option Writers
   
• DISCLOSURES - Variable Annuity Disclosure
    
• DISCLOSURES - Mutual Fund Switch Letter

• DISCLOSURES - Private REIT Disclosure

Ridgeway and Conger IRA Forms

• IRA - 5305-SEP
   
• IRA - IRA Designation of Beneficiary
   
• IRA - IRA Distribution Form
   
• IRA - IRA New Account Form *UPDATED*
   
• IRA - IRA Rollover Certification
   
• IRA - Simple IRA 5304
   
• Privacy Policy/ BCP
   
• Privacy Policy/BCP Terra Nova

Ridgeway and Conger Securities Forms 

• SECURITIES - Exercise Request Example
   
• SECURITIES - Exercise Request Form
   
• SECURITIES - Irrevocable Stock or Bond Power
   
• SECURITIES - Notice of Exercise of Stock Options
   
• SECURITIES - Request to Remove Legends
   
• SECURITIES - Requested Sale of Shares
   
• SECURITIES - RULE 144 BROKER’S REPRESENTATION LETTER – AFFILIATE
   
• SECURITIES - RULE 144 BROKER’S REPRESENTATION LETTER – NON-AFFILIATE
   
• SECURITIES - RULE 144 SELLER’S REPRESENTATION LETTER - AFFILIATE
   
• SECURITIES - RULE 144 SELLER’S REPRESENTATION LETTER – NON-AFFILIATE
   
• SECURITIES - Shareholder Disclosure To Issuers
   
• SECURITIES - Trade Correction
   
• SECURITIES - WORTHLESS SECURITY DISPOSITION FORM A - REMOVE AS A JOURNAL
   
• SECURITIES - WORTHLESS SECURITY DISPOSITION FORM B - REMOVE AS A TRADE

Ridgeway and Conger Trade Forms

• TRADES - Block Buy Ticket
   
• TRADES - Block Sell Ticket
   
• TRADES - Buy Ticket
   
• TRADES - Sell Ticket

Ridgeway Advisory Services Forms

• Paperwork Guidelines

• Client  Brochure - Traditional Investment Management, Planning and Consulting
   
• Client Brochure - Wrap Free Program

• Privacy Policy Statement [word] [pdf]

• Investment Management Agreement [word] [pdf]

• Financial Planning/Consulting Agreement