First Asset Financial welcomes your business. In order to better know you and provide informed guidance, as well as meeting regulatory obligations, our Registered Representatives request you complete the appropriate applications or forms. Contact your representative to discuss which applications would apply to your specific needs. The information gathered from you will enable your First Asset Representative to know your investment objectives, risk tolerances, and provide the data to initiate your account.

For more information as to why First Asset requests the information contained on the forms, go to the heading at the top "Important Information" and go to the sixth topic down entitled "Why Broker Dealers Ask For Information From You" and review this government published article.

Only the "most used" forms are available here, please contact your Representative to acquire a specific form not listed. You are welcome to click on the form that applies to your situation, complete it, sign it and deliver it to your First Asset Representative:

Brokerage Accounts:

1. Brokerage Account for single or married person to buy/sell individual stocks, bonds, options, CDs, etc.:
♦ a. New Account Form from HTS
♦ b. First Asset Financial Account "Supplement" Form


2. "No Annual Fee" Individual Retirement Account (IRA) brokerage "Traditional IRA" application:
♦ a. Traditional IRA Form from HTS
♦ b. First Asset Financial Account "Supplement" Form


3. "No Annual Fee" Individual Retirement Account (IRA) brokerage "ROTH IRA" application:
♦ a. ROTH IRA Form from HTS
♦ b. First Asset "Supplement" Account Form


4. Forms for TRANSFERRING your current brokerage account from another broker to First Asset Financial Representative (ACAT):
♦ a. Account Transfer Form from HTS
♦ b. First Asset Financial Account "Supplement" Form


5. Free Checking account application and VISA Debit Card application for existing brokerage account:
♦ a. "Vision" Account Application and Agreement


6. "No Annual Fee" Health Savings Account (HSA) brokerage "HSA" forms:
♦ a.HSA Account application
♦ b.HSA Custodial Agreement
♦ c.HSA Vision Checking Account application
♦ d.HTST Direct Deposit Form
♦ e.HSA Distribution Request Form


→ For All Brokerage Accounts:
♦ a.HTS Customer Information Brochure
♦ b.HTS Privacy Policy Letter

 

Direct Mutual Fund, Variable Annuity or Tax Shelter Investments:

7. First Asset Financial Inc. account forms for investing in a mutual fund:
♦ a. First Asset Financial (New) Account Form
♦ b. Mutual Fund Investment Form


8. Forms for changing to your First Asset Representative on you mutual fund statement FROM another broker:
♦ a. First Asset Financial (New) Account Form
♦ b. Mutual Fund Change of Dealer Authorization Form


9. Forms for investing in a variable annuity:
♦ a. First Asset Financial (New) Account Form
♦ b. Form for investing in a Variable Annuity
♦ c. Form for exchanging one Variable Annuity for Another (1035 Exchange)


10. Forms for investing in a tax shelter, REIT, or LP:
♦ a. First Asset Financial (New) Account Form
♦ b. Disclosure Form

 

Service Forms:

11. Sending Stock Certificates (Stock Delivery Instructions and Form):
♦ a. Instructions
♦ b. Form

12. Instructions for sending money to pay for stocks, bonds, CDs, or other brokerage investments:

13. Incoming wire instructions for the client

14. Form for accessing your account online:

15. Form for sending dividends, interest, and proceeds of sale directly to your local bank account (ACH)

16. IRA Distribution form

17. Equity Index Annuity disclosure form

18. Penny Stock Disclosure Form

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To obtain a free copy of Adobe Acrobat Reader, click the button below.