Financial Professional Authorization
Financial Professional Authorization
Account Owners Can Authorize An RIA To Have Three Levels Of Account Management Access.
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the latest account information to be mailed.
RIA Authorization can be provided using
page 3 of the paper enrollment form.
ways to gain account authorization as an RIA
1
Level 1 - Account Inquiry Access
Authorized to obtain information about Account(s); change address of record and receive duplicate Account statements.*
2
Level 2 - Account Inquiry Access, Contributions and Exchanges
Authorized to obtain information about Account(s); change address of record; receive duplicate Account statements; add or update bank information; make a contribution and change Investment Options for the Account(s).*
3
Level 3 - Account Inquiry Access, Contributions, Exchanges, and Withdrawals
Authorized to obtain information about Account(s); change address of record; receive duplicate Account statements; add or update bank information; make a contribution; change Investment Options and withdraw from the Account(s).*
