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Links to Important Forms

Advertising / Social Media Review Form - To be completed in all cases we post something to a website or social media. 

Quarterly Securities Report - To be completed quarterly for all securities including ETFs.

Outside Business Activity Form - To be completed upon hiring or when an OBA is required to be disclosed. 

Lost/Closed Client Form - To be completed each time a client decides to close their relationship with Walkner Condon.

Expense Reimbursement Form - For any expense that you need cash for that was not put on your business credit card.

Political Contributions Form - Must be completed when any political contribution is made.

Compliance Manual Acknowledgement Form - To be completed initially and annually.

Code of Ethics Acknowledgement Form - To be completed initially and annually.

Permission to Disclose Identifiable Personal Information - Sharing information with a Third Party, i.e. attorneys, accountants, children of age of majority.

Annual / Initial Securities Disclosure Report - Must be completed when a new advisor joins or on an annual basis.

Gift and Entertainment Log - This must be completed when gifts are given or received to/from clients. See our policy if you need the details.

Trade Error Log - For any error made to a trade that we have to correct.

Professional Designation Reporting Form - To be completed for professional designations, i.e. CFP, CPA.

Quarterly Computer Security Check Form - To be completed to check passwords are being refreshed and policies are being followed.