Document Requirements

Please contact our Accounts team with any paperwork questions.
(303) 797-9080 Ext. 1620
accounts.investments@simplicitygroup.com

Variable Life

Variable Life Insurance owned by a PERSON

  • Variable Life Packet, which includes:
    • Investment Account Profile
    • Variable Life Worksheet
  • Carrier application, signed
  • Carrier illustration, run at a max of 8% net rate of return
  • Statement for any account or policy being replaced
  • Form CRS1

Variable Life Insurance owned by an ENTITY

  • ENTITY Variable Life Packet, which includes:
    • Entity Account Form
    • Variable Life Worksheet
  • Carrier application, signed
  • Carrier illustration, run at a max of 8% net rate of return
  • Statement for any account or policy being replaced
  • Form CRS¹
  • Corporate documents or Trust²

COLI/BOLI

  • Entity Variable Life Packet, which includes:
    • Entity Account Form
    • Variable Life Worksheet
  • Copy of the master application
  • A census – list of the employees under the plan with each policy number
  • Form CRS¹
  • Corporate documents²
  • **(if this is a wholesale override only, and the rep is not listed as the retail agent, please use https://formstack.io/B622E )

Mutual Funds

MUTUAL FUND owned by a PERSON

  • Mutual Fund Packet, which includes:
    • Investment Account Profile
    • Mutual Fund Worksheet
  • Mutual Fund company application, signed
  • Statement for any account or policy being replaced
  • Form CRS1
  • The FI360 PTE 2020-02 Analysis³ – if applicable

MUTUAL FUND owned by an ENTITY

  • ENTITY Mutual Fund Packet, which includes:
    • Entity Account Form
    • Mutual Fund Worksheet
  • Mutual Fund company application, signed
  • Statement for any account or policy being replaced
  • Form CRS1
  • Corporate documents or Trust2

401(k)

  • 401(k) Packet, which includes:
    • Entity Account Form
    • 401(k) Acknowledgement
    • Retirement Plan Service Agreement
  • Mutual Fund company application, signed
  • Statement for any account or policy being replaced
  • Form CRS¹
  • Corporate documents²
  • The FI360 PTE 2020-02 Analysis³ – if applicable

529 Municipal Security Funds

  • 529 Municipal Security Fund Packet, which includes:
    • Investment Account Profile
    • 529 Municipal Security Fund Worksheet
  • 529 company application, signed
  • Statement for any account or policy being replaced
  • Form CRS1

Annuities

Variable Annuity owned by a PERSON

  • Variable Annuity Packet, which includes:
    • Investment Account Profile
    • Variable Annuity Worksheet
  • Carrier application, signed
  • The FI360 PTE 2020-02 Analysis – if applicable.
  • Statement for any account or policy being replaced
  • Form CRS1

Variable Annuity owned by an ENTITY

  • ENTITY Variable Annuity Packet, which includes:
    • Entity Account Form
    • Variable Annuity Worksheet
  • Carrier application, signed
  • A full copy of the trust
  • Statement for any account or policy being replaced
  • Form CRS1

Indexed Annuity owned by a PERSON

  • Indexed Annuity Packet, which includes:
    • Investment Account Profile
    • Indexed Annuity Worksheet
  • Carrier application
  • Statement for any account or policy being replaced
  • Form CRS¹
  • The FI360 PTE 2020-02 Analysis³ – if applicable

Indexed Annuity owned by an ENTITY

  • ENTITY Indexed Annuity Packet, which includes:
    • Entity Account Form
    • Indexed Annuity Worksheet
  • Carrier application, signed
  • Statement for any account or policy being replaced
  • Form CRS1
  • Corporate documents or Trust²

Registered Index-Linked Annuity (RILA) owned by a PERSON

  • RILA Packet, which includes:
    • Investment Account Profile
    • Registered Index-Linked Annuity Worksheet
  • Carrier application, signed
  • Statement for any account or policy being replaced
  • Form CRS¹
  • The FI360 PTE 2020-02 Analysis³ – if applicable

Registered Index-Linked Annuity owned by a ENTITY

  • ENTITY RILA Packet, which includes:
    • Entity Account Form
    • Registered Index Linked Annuity Worksheet
  • Carrier application, signed
  • Statement for any account or policy being replaced
  • Form CRS¹
  • Corporate documents or Trust²

Brokerage Accounts

NFS Brokerage Account owned by a PERSON

  • Brokerage Account Packet, which includes:
    • Investment Account Profile
    • Brokerage Account Worksheet
  • Wealth Event Disclosure form (if assets are being received due to sale of a home, business, divorce, inheritance)
  • NFS application
  • NFS Transfer of Account form – if applicable
  • Statement for any account or policy being replaced
  • Form CRS¹
  • The FI360 PTE 2020-02 Analysis³ – if applicable

NFS Brokerage Account owned by an ENTITY

  • ENTITY Brokerage Account Packet, which includes:
    • Entity Account Form
    • Brokerage Account Worksheet
  • Carrier application, signed
  • Statement for any account or policy being replaced
  • Form CRS¹
  • Corporate documents or Trust²

Life Settlement

  • Life Settlement Disclosure form
  • Corporate documents or Trust²
  • Settlement Transaction paperwork – this is the insurance paperwork from the companies that show the sale of insurance from one carrier to the new policy holder to settle the transaction

Signature Guarantee

  • Affidavit of Identity for Signature Guarantee
  • Copy of the client’s Drivers License
  • Carrier paperwork to be signed and stamped
  • Provide a prepaid shipping label/envelope to send the paperwork to its destination

Miscellaneous

Additional VA Contribution Form – to be completed if a client is contributing $25,000 or more to an existing VA account with us already.

Wholesale Account form

Fixed Annuity – this business does NOT need to run through us

1 Form CRS must be delivered at the time of or before recommendation, it is bundled with the Investment Account Profile and Entity Account Form.

2 Corporate documents and copies of trust paperwork are required to verify signing authority and potential investment restrictions. Corporate Resolutions, Articles of Incorporations, etc. are public record and can often be found on the secretary of state’s website. For 401(k)s, an Adoption Agreement is required in lieu of a Corporate Resolution.

3 FI360 PTE 2020-02 Analysis is used when making a recommendation for rolling or transferring retirement funds into an IRA (or from one IRA to another). This tool is accessible on LeadersLink.