Crs Online Submission Form

Complete the fields below to submit your Form CRS delivery reporting obligation. Form CRS is required to be delivered to new and existing retail investors based upon the parameters laid out in the SEC Rule.

Existing customers must receive a FORM CRS in the following circumstances: opening a new account that is different from their existing account; recommending a rollover from a retirement account into a new or existing account; recommending or providing a new brokerage service or investment that does not necessarily involve the opening of a new account and would not be held in an existing account. You must also deliver the form CRS within 30 days of a client’s request to receive Form CRS. For new customers, they must receive a FORM CRS at the earliest of: making a recommendation of an account type, a securities transaction, or an investment strategy involving securities; placing an order for the retail investor; the opening of a brokerage account for the retail investor.

Please contact the Compliance Department if you have any questions or concerns.