Trading Instructions
Primary Client Salesforce Account ID
*
Primary Client's Email
*
example@example.com
Servicing Advisor
*
Client Household
*
DOL on file for this transaction (only applicable for retirement accounts)?
*
Yes
No
N/A
Submit PRF for DOL here
Type of Request
*
Initial Trading Instructions (Household)
One-Off Trade Request (Account Specific)
Changes to Existing Trading Instructions (Household)
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Household Allocation
*
Please Select
0/100
5/95
10/90
15/85
20/80
25/75
30/70
35/65
40/60
45/55
50/50
55/45
60/40
65/35
70/30
75/25
80/20
85/15
90/10
95/5
100/0
Account Number
*
Account Type(s) being Traded on
Time Frame
*
Please Select
1-3 Years
4-6 Years
7-9 Years
10+ Years
Goal
*
Please Select
Growth
Income
Growth/Income
Model Selection
*
Please Select
Falcon Core Model
Falcon Core Plus (w/Alts)
Falcon Active Model
Falcon Vanguard Model
Falcon ESG Model
Falcon Core Plus Alts Selection
*
Trading Restrictions
Yes
No
Are there positions we are not selling?
Yes
No
Equivalence
Include tickers, positions/value will be considered in portfolio weightings
Exclusion
Include tickers, positions/value will be excluded from portfolio weightings
Restrictions Apply to What?
Household
Account Specific
Household
List Impacted Accounts
Separate with a comma
Trade Restrictions
Please add any tickers and specify specific tax lots, if applicable.
Carryforward Losses?
Yes
No
Amount?
Dollar amount
Capital Gain Limitations? (Default is $10,000)
Yes
No
Amount
Dollar Amount
Duration
Forever
Other
Model Selection
Falcon Core Model
Falcon Core Plus (w/Alts)
Falcon Active Model
Falcon Vanguard Model
Falcon ESG Model
Trading Instructions
Rebalancing Instructions
Exclusions
Carryforward Losses
Long/Short Term Gain Limit
Tax Withholdings
Instructions or Comments
Additional Instructions or Comments
Trading Queue ID
Ops Queue ID
File Upload Related to Trading Instructions
Browse Files
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Tax Lots, statements, etc... (pdf, xls, xlsx file types only)
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