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Representative Login Clients
Colorado Financial Service Corporation

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Manuals

  • Non-Registered Location Files (D014B)
  • Privacy Policy
  • Quick Reference Guide (D040)
  • Registered Location Files (D014A)
  • Required Branch Files (D014)

Blotters & Logs

  • Cash & Non-Cash Compensation Log (D033)
  • Check Receipt & Delivery Blotter (D028)
  • Direct Business Log (D020)
  • Gifts and Gratuities Log (D029)
  • Incoming Correspondence Log (D030)
  • Investment Banking Engagement Log (D034)
  • Office Visiting Log (D050)
  • Outgoing Correspondence Log (D031)
  • Securities Received Blotter (D019)

Compliance Forms

  • Joint Rep Code Request Form (D016)
  • Monthly Checklist (D023) - Fillable
  • Outside Business Activities Form (D002) - PDF
  • Outside Business Activities Form (D002) - Fillable
  • Personal Securities Account Disclosure (D027) - PDF
  • Personal Securities Account Disclosure (D027) - Fillable
  • Private Securities Transaction Form (D017)
  • Purchase & Sales Blotter
  • Reasonable-Basis Suitability Assessment Report (B001)
  • Recommendation Ticket w/o Securities Transaction (D010)
  • Retirement Plan Account Disclosure And Acknowledgement Form
  • Social Media Sites Application (D065)
  • Supervisor Monthly Checklist (D024)

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Colorado Financial Service Corporation Member FINRA • SIPC