E-Signature Eligible Documents - Broker Dealer Forms

Owned by Brittany Noethen
Mar 25, 2020
1 min read

Following is a list of Broker Dealer forms that are available through LaserApp Anywhere.

The chart below indicates if forms are eligible for E-Signature.

 

FORM NAME

Eligible

Why Isn't this
Form Eligible?

1

529 College Savings Plan Disclosure Form

Yes

 

2

Affidavit of Domicile

No

Requires Notary

3

Alternative Investment Suitability and Exception Form

Yes

 

4

Annuity Replacement Form

Yes

 

5

Block Account Reassignment Form

Yes

 

6

Broker Dealer Change Request

Yes

 

7

Check or Wire Request

Yes

 

8

Client Account Form

Yes

 

9

Client Account Form Additional Signature Form

Yes

 

10

Client ID Verification Form

Yes

 

11

Consumer Privacy

No

Nothing to Sign

12

ERISA Point of Sale Disclosure

Yes

 

13

Financial Planning Agreement

Yes

 

14

Form 144

Yes

 

15

Form ADV Part II

No

Nothing to Sign

16

Initial Public Offering (IPO) Acknowledgement Form

Yes

 

18

Investment Club Form

Yes

 

19

IRS 1031 Exchange Point of Sale Agreement

In Person
Signing Only

Requires Witness

20

Joint Tenant in Common

Yes

 

23

Mutual Fund Switch Authorization

Yes

 

24

MyStreetscape User Agreement

Yes

 

25

MyStreetscape User Agreement - Online Trading

Yes

 

26

NFS - Investment Advisory Account Request

Yes

 

27

NFS - Premiere Select IRA Kit - Part 1

Yes

 

28

NFS - Premiere Select IRA Kit - Part 2

No

Nothing to Sign

29

NFS - Premiere Select Rollover IRA Kit - Part 1

Yes

 

30

NFS - Premiere Select Rollover IRA Kit - Part 2

No

Nothing to Sign

31

NFS - Premiere Select SIMPLE IRA Employee Kit

Yes

 

32

NFS - Premiere Select SIMPLE IRA Employer Kits

Yes

 

33

NFS - Trading Authorization Full

Yes

 

34

NFS - Trading Authorization Limited

Yes

 

35

Non-Traditional Exchange Traded Funds Acknowledgement Purchase Form

Yes

 

36

Partnership Agreement for Direct Accounts

Yes

 

37

Penny Stock Disclosure Form Schedule 15G

No

Nothing to Sign

38

Penny Stock Low Priced Security Purchase Form

Yes

 

39

Signature Guarantee Request

No

Requires Signature Guarantee

40

Sole Proprietorship Affidavit

No

Requires Notary

42

Trustee Certification of Investment Powers for Direct Accounts

Yes

 

43

Variable Annuity Disclosure

Yes

 

45

Waiver Letter - Sale of Valueless Security

Yes