*** RBC Security Certificate (per work-station), User-ID, and Password are required to access the RBC platform, including WealthStation and Forms ***
Recruiting Materials
(Desktop)
PRE-REGISTRATION:
CRD Authorization (1-pager) (auto-type)
CRD Authorization w-12 Month Business Detail (auto-type)
Prospective Client Profile Overview (handwritten)
Preliminary New RR Packet (handwritten)
Preliminary New RR Packet (part-2) (handwritten)
REGISTRATION:
State (BD)
States (Insurance)
Finger-Printing
ON-BOARDING MATERIALS
(Desktop)
POST-REGISTRATION:
Authorization for Direct Deposit (auto-type)
Business Card Request Form (Liberty Branded)
Business Card Request Form (DBA Branded)
Record Keeping (WPS’s effective – 01-01-21)
Continuing Education Needs Analysis (handwritten)
RBC Forms and Reference Materials
(Desktop)
Visit Infwork on the RBC Gateway for the complete list of forms
Client Source – Online Accounts Opening and Maintenance Portal
Forms Library – Online Forms and Reference Materials Portal
Brokerage (In-House) Forms
(Desktop)
ACCOUNT WORKSHEETS:
INSURANCE AGENCY FORMS
(Desktop)
VARIABLE ANNUITIES:
INSURANCE PROVIDERS
(Desktop)
VARIABLE ANNUITIES:
COMPLIANCE DOCUMENTS
(Desktop)
Written Supervisory Procedures (WSPs)
WSP Signature Page (auot fill)
Client Source – Online Accounts Opening and Maintenance Portal
Forms Library – Online Forms and Reference Materials Portal
Forms & Reference Materials Links
ON-BOARDING MATERIALS
(mobile)
PRE-REGISTRATION:
CRD Authorization w-12 Month Business Detail (handwritten)
CRD Authorization (only (auto-fill form)
CRD Authorization (only) (handwritten)
Preliminary New RR Packet (handwritten)
POST-REGISTRATION:
Authorization for Direct Deposit (auto-fill)
Business Card Request Form (Liberty Branded)
Business Card Request Form (DBA Branded)
All links to other websites are provided herein strictly on an “as is” basis. Liberty Associates, Inc. (“the Firm”) does not verify or monitor these outside websites or and assumes no responsibility for their content. By selecting these links, the user agrees to accept them on an as such basis and agrees to holds the Firm harmless for all materials on these outside websites to the fullest extent allowable by the law.