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TD Ameritrade SETH STEWART & ANDRE MCLEAN Managed Account Custodian CUSTODIAL PLATFORMS & PORTFOLIO MANAGEMENT Fee Schedule Necessary Account Documents & Purpose Managed Account Agreement Driver’s License Copy Account Applications Transfer Forms – When Applicable Commonly Used Optional Forms & Purpose Advisor Move Money Authorization (Qualified & Non-Q) Ongoing contributions and/or withdrawals Household Statement Form Checkbook/Debit Card Access Transactions against cash position only Electronic Check Deposit 25
Notes Questions... CUSTODIAL PLATFORMS & PORTFOLIO MANAGEMENT ................................................. Doodle Space ........................................................................................................................................ ........................................................................................................................................ ................................................. 26
Page 1: Training Guide For Advisers & Staff
Page 4 and 5: Opening Remarks JAMES M. JONES, FOU
Page 6 and 7: Opening Remarks SETH B. STEWART, PR
Page 8 and 9: Compliance Polices & Procedures PAM
Page 10 and 11: Advisors Assistant CRM SETH STEWART
Page 12 and 13: Advisors Assistant CRM ANDRE MCLEAN
Page 14 and 15: Brookstone Financial.com SETH STEWA
Page 16 and 17: Screen Meet SETH STEWART Easy to us
Page 18 and 19: eMoney SETH STEWART “A tool, NOT
Page 20 and 21: Riskalyze Risk Profiling SETH STEWA
Page 23 and 24: Table of Contents Strategic Partner
Page 25 and 26: Life Insurance TJ SCOTT How Gradien
Page 27: Notes Questions... CUSTODIAL PLATFO
Page 31 and 32: Notes Questions... CUSTODIAL PLATFO
Page 33 and 34: Notes Questions... CUSTODIAL PLATFO
Page 35 and 36: BofI Advisor SETH STEWART Adviser S
Page 37 and 38: Notes Questions... SALES & MARKETIN

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