Veritas Independent Partners File Portal


Veritas Document Portal

This portal contains Veritas forms and documents only. Carriers and custodians will also require their own account forms to be completed in addition to the forms listed here.

* Indicates forms that are required with every account.

Variable Annuity Documents

*CLIENT PROFILE
*PURCHASES AND EXCHANGES IN A RETIREMENT ACCOUNT
*PURCHASES AND EXCHANGES IN A NON-RETIREMENT ACCOUNT
ROLLOVER WORKSHEET (only used when assets are being transferred from a 401K or other retirement plan)
CHANGE OF INVESTMENT DISCLOSURE (only use when “switching” client from mutual funds to VA)
RISK TOLERANCE TEST (this will help you and your client clarify their risk tolerance)
CHANGE OF BROKER DEALER

Mutual Fund Account

*CLIENT PROFILE
*MUTUAL FUND DISCLOSURE
CHANGE OF INVESTMENT DISCLOSURE (only use when “switching” or liquidating one investment to purchase mutual funds)
RISK TOLERANCE TEST
ROLLOVER WORKSHEET (only used when assets are being transferred from a 401K or other retirement plan)
CHANGE OF BROKER DEALER

TD Ameritrade or SEI Account (RIA)

*CLIENT PROFILE
*INVESTMENT ADVISORY AGREEMENT
*ADV II (BROCHURE) PLEASE INCLUDE THE SUPPLEMENT SPECIFIC TO YOUR BRANCH
*RISK TOLERANCE TEST
ROLLOVER WORKSHEET (only used when assets are being transferred from a 401K or other retirement plan)
CHANGE OF INVESTMENT DISCLOSURE (only use when “switching” or liquidating a font load or back load mutual fund to ensure the client is aware of the cost of such transaction)
LEVERAGED & INVERSE ETF SUITABILITY DISCLOSURE

Compliance Forms

Written Supervisory Manual (BD)
Compliance and Procedure Manual (RIA)
Political Contribution Form
Outside Business Activity Disclosure
Gifts and Gratuities Log
Advertising Approval Form
Direct Deposit Form