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.