CSC Advisory Account Opening Workflow

In Progress (Draft)

0

Pending Approval

0

In Processing

0

Completed

0

All Accounts

Client / Advisor Contract Type Program Fee Status

📋

No accounts yet

Click "+ New Account" to start the first advisory account opening workflow.

1

Initiate

2

Contract

3

Principal Approval

4

Rollover

5

Outside Assets

6

Disclosures

7

Review & Submit

Step 1 — Initiate

Advisor Name *

Date *

Step 1 of 7

Step 2 — Contract Selection

Contract Type *

Discretionary

Advisor may buy/sell without prior client approval per transaction. Client grants full trading authority.

Non-Discretionary

Advisor recommends; client must confirm before each transaction execution.

Account Program *

Centennial Select

Wrap fee program. Requires ADV Part 2A Appendix 1 — Wrap Fee Brochure.

Standard Advisory

Standard non-wrap advisory account. Requires Form ADV Part 2A.

Client Name *

Account Number

Advisory Fee (% of AUM) *

Fee Structure *

Directed Broker-Dealer *

Custodian *

Aggregate Accounts for Billing *

Start Billing *

Investment Restrictions

Client Signature (typed) *

Client Signature Date *

Advisory Rep Signature (typed) *

Rep Signature Date *

Step 3 — Principal Approval Form

Documents disclosure confirmation, discussion method, and reason(s) for choosing an advisory account.

Account Number(s)

Account Registration *

Account Opening Type *

New Account

Opening a brand-new advisory account for this client.

Existing Brokerage Conversion

Converting an existing brokerage account to advisory.

All Material Components Disclosed? *

Discussion Method

Date of Discussion *

Reason(s) Client Chose Advisory Account * (select at least one)

Lower costs compared to brokerage

Flexibility of the advisory program

Predictable/consistent fees

More ongoing guidance and monitoring

Additional services provided

Other

Advisor Signature (typed) *

Advisor Signature Date *

Principal Signature — This field will be completed by the principal during the Approve phase.

Step 4 — Rollover / Transfer

Required when the account involves a rollover from a Qualified Retirement Plan or a transfer from another IRA.

Does this account involve a rollover from a QRP or transfer from another IRA? *

Rollover / Transfer Worksheet

Current Custodian *

Account Type at Current Custodian *

Reason(s) for Rollover/Transfer *

Dissatisfied with current provider's service

Account consolidation

Better tools and technology

Desire for ongoing advice and management

Better investment options

No longer employed by plan sponsor

Client-initiated, unsolicited

Other

Alternatives to Rollover/Transfer Discussed? *

Potential Fee Differences Discussed? *

Fee Comparison Table *

Fee Type	Pre-Transfer	Post-Transfer
Expense Ratio
Administration Fee

Advisor Signature (typed)

Client Signature (typed)

Step 5 — Outside Assets

Required when the client holds assets at a custodian outside of Centennial Securities.

Does the client hold assets at another custodian outside Centennial? *

CSC Outside Assets New Account Form

Account Rep & Custodian

Rep Name

Custodian Name *

Custodian Address

Client Information

Client Name *

SSN

Driver's License #

Home Phone

Cell Phone

Occupation

Address

Financial Profile

Annual Income *

Liquid Net Worth *

Net Worth *

Investment Profile

Investment Objective *

Risk Tolerance *

Time Horizon *

Liquidity Needs *

Regulatory Confirmations

FINRA Affiliate — client or household member is affiliated with FINRA member firm

FINRA Employment — client or household member is employed by a FINRA member firm

PATRIOT Act — client identity verified per firm procedures

Step 6 — Disclosures

Required regulatory disclosures based on selected program.

Required Documents for This Package

Client Acknowledgments *

Client acknowledges receipt of Form ADV Part 2A — Firm Brochure

Client acknowledges receipt of Form CRS — Customer Relationship Summary

Client acknowledges receipt of Privacy Policy

Client consents to electronic delivery of disclosures

DocuSign Envelope ID (optional)

Step 7 — Review & Submit

✓

No packages awaiting approval

Submitted packages will appear here for principal review.

⚙

No packages in processing

Approved packages will appear here for final processing.

Client Name	Contract Type	Program	Principal	Completed
No completed accounts yet.