Non-Brokerage
Electronic Signatures NOT Accepted for BD Changes
As of 9/15/25 these are a list of the carriers who have indicated that do not accept electronically signed Change of BD Forms. Please have the client wet sign the documents. - Alliance Bernstein - AIG Sunamerica/Corebridge - Augustar/Ohio National - ...
No Valid Form of ID
If the client does not have a valid form of ID (expired), please see what is needed below. Attach this document to the client packet when submitting. - When there is NOT a POA acting on behalf of the client, provide a letter that indicates the ...
Non-Brokerage Client Packet Tips for Existing Accounts
When completing a client packet, remember these below tips: * The client should be the one completing the documents and you can advise them on how to complete. * If using DocuSign, we will only accept authentication using Knowledge Base (KBA). * Most ...
DocuSign Requirements
As of April 20, 2025, any DocuSign on Mutual's paperwork will require Knowledge-Based Authentication (KBA authentication) to be shown as passed on the Certification of Completion pages. Knowledge-Based Authentication (KBA) verifies a client's ...
Change of Broker/Dealer and/or Representative Authorization
The Change of Broker/Dealer and/or Representative Authorization is used to change the rep on an account from the current rep to a Mutual Securities Inc (MSI) rep. In most cases, this form will have been provided to you as part of your transition to ...
Durable Power of Attorney Affidavit and Indemnification Form
If you are submitting an application that has a POA on the account, we need the below supporting documents submitted along with the Non-Brokerage Application and the Change of Broker Dealer Form. The POA would sign off on all areas needed on the ...
Non-Brokerage Trustee Certification Form
Along with the Non-Brokerage Account Application, the Release of Information Page and the Change of Broker Dealer Form for any Trust Account, we need the Non-Brokerage Trustee Certification Form with the relevant sections for the Trust completed. ...