Regulation Best Interest Addendum

Client Service Associate Email Address:*

Account #(s):*

Client Names:*

Account Type(s):*

Form CRS:

Emailed On:

Delivered in Person On:

Reg BI:

Emailed On:

Delivered in Person On:

OFAC List to Check

OFAC : Client(s) not on OFAC list. Checked on:*

SECTION 1: Identify return & risk objectives and any investment constraints (i.e. time horizon, taxes, liquidity concern, legal/regulatory issues, unique circumstances):*

SECTION 2: Source of funds:*

SECTION 3: What reasonable alternatives were considered?*

Brokerage (Transactional)

Advisory Account

Mutual Fund Direct

Other

If Other is chosen, please list:*

Which one was chosen?*

Brokerage (Transactional)

Advisory Account

Mutual Fund Direct

Other

If Other is chosen, please list:*

Opening account as brokerage with the intention to convert to advisory.*

Yes

No

SECTION 4: Describe why the account type was chosen:*

SECTION 5: If an advisory account was chosen, identify which program was selected and the reason it is appropriate:

SECTION 6: Have you considered the risk, rewards, and cost of the account selected for this client?*

Yes

No

There must be a reasonable basis to believe that the specific account type, program, investment and/or strategy recommended to the client is in the best interest of the client based on the client’s objectives, investment experience and financial circumstance. By submitting and approving this request, the Financial Advisor/Financial Professional acknowledges that they believe this account recommendation is in the best interest of this client.

I agree with the terms & conditions above

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Regulation Best Interest Addendum