Atria’s WIS Opens Downtown San Jose Office
Firm expands turnkey wealth management program with Silicon Valley location Pasadena, CA — July 29, 2021 — Western International Securities, Inc. (WIS),...
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Mutual Fund Direct Business Application Way
- • All Forms are required unless otherwise noted as “if applicable”
- • Forward all documentation to your OSJ for approval
- • Keep a copy for your records
- • It is important to verify Breakpoints, see http://apps.finra.org/fundanalyzer/1/fa.aspx for a breakpoint analyzer.
- • EReview all B share purchases to ascertain that the $49,999.99 threshold has not been exceeded
- • Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva/.
| BUSINESS TYPE | PAPERWORK REQUIREMENTS | SIGNATURE REQUIRED |
|---|---|---|
| New Account/New Business | WIS Account Agreement Form | Client, Rep, OSJ |
| Fund Application and all accompanying documents | Client, Rep | |
| Check (if applicable) | Client | |
| Transfer Request (if applicable) Note: When transferring from one prospectus product to another that would create a new sales charge to the client or CDSC, a Request To Switch Investment Form must be completed | Client, Rep | |
| Switch Letter (if applicable) Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva/. |
Client, Rep, OSJ | |
| Existing Client—New Variable Annuity Order | Account Information Form | Client, Rep, OSJ if one has not been completed in the last 36 months |
| Mutual fund Application and/or Letter of Instruction | Client, Rep | |
| Check (if applicable) | Clients | |
| Transfer Request (if applicable) Note: When transferring from one prospectus product to another that would create a new sales charge to the client or CDSC, a Request To Switch Investment Form must be completed | Client Rep | |
| Switch Letter (if applicable) Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva/ |
Client, Rep, OSJ | |
| Adding to Existing Mutual Fund Account | Check made payable to the Fund Company | Client |
| Write the account number clearly on the check. Input the related transaction information into WIS’ Direct Blotter, which is accessed through www.wisdirect.com/mfva |
