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Financial Planner / Advisor Information

Financial Planner Information

Entity Type Individual Person Corporation Limited Liability Company (LLC) Partnership Sole Proprietorship Trust Non-Profit Organization Government Entity

Select the type of entity

Full Legal Name

As it should appear on the document

Doing Business As (DBA)

Optional trade name

State of Formation Select state... Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming District of Columbia

Where the entity was formed

Authorized Representative

Person authorized to sign

Representative Title

Title or position

Address

Street Address

Full street address including suite or unit number.

City

City of financial planner residence or business.

State Select... Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming District of Columbia

State where this address is located.

ZIP Code

5-digit ZIP code.

Email Address

Used for correspondence and notices.

Phone Number

Best number for direct contact.

Client Information

Client Information

Entity Type Individual Person Corporation Limited Liability Company (LLC) Partnership Sole Proprietorship Trust Non-Profit Organization Government Entity

Select the type of entity

Full Legal Name

As it should appear on the document

Doing Business As (DBA)

Optional trade name

State of Formation Select state... Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming District of Columbia

Where the entity was formed

Authorized Representative

Person authorized to sign

Representative Title

Title or position

Address

Street Address

Full street address including suite or unit number.

City

City of client residence or business.

State Select... Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming District of Columbia

State where this address is located.

ZIP Code

5-digit ZIP code.

Email Address

Used for correspondence and notices.

Phone Number

Best number for direct contact.

Planning Scope & Fees

Financial Planning Goals / Scope *

A clearly defined scope prevents misunderstandings about what services are included. Services outside the scope should be quoted separately.

Fee Structure * Flat Fee (one-time plan) Hourly Rate AUM-Based (% of assets under management) Annual Retainer Monthly Subscription

Fee-only planning (no commissions) is associated with fiduciary advice. AUM fees (typically 0.5–1.5%/year) align advisor and client interests on portfolio growth.

Fee Amount

State the exact fee. For AUM arrangements, specify when and how the fee is calculated (quarterly, on average daily balance, etc.).

Fiduciary Obligation Yes — advisor acts as a fiduciary at all times No — suitability standard applies Fiduciary for planning; suitability for product recommendations

The SEC's Regulation Best Interest (Reg BI) requires brokers to act in client's best interest. RIAs are held to the stricter fiduciary standard at all times.

Agreement Term Ongoing (until terminated) 1 Year (with option to renew) Project-Based (until plan delivery)

Ongoing advisory agreements provide continuity of service. Project-based agreements are appropriate for one-time comprehensive financial plans.

Termination Notice Period 30 days written notice 60 days written notice Immediately upon written notice

Either party should be able to terminate the agreement with reasonable notice. 30 days is most common for financial planning engagements.

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Not Legal Advice: This automated form assistance tool provides general information and document templates. It is not a substitute for legal advice from a qualified attorney. Laws vary by jurisdiction and change over time. Consult with a licensed attorney for advice specific to your situation.
Last updated: January 2026