529 College Savings Plan Worksheet

Required for out-of-state and/or replacement plans. Supervisor prior approval required.

Address Change Form

Client address change information. Supervisor approval required.

Advertising Submission Form

Alternative Order Ticket – Brokerage

Required for Alternative Investments. Replaces the five-page Alt Suitability & Disclosure Form. Supervisor prior approval is required.

Beneficiary Request Form

Breakpoints Checklist and Worksheet Overview Form

Used to fulfill industry obligation to provide available breakpoint discounts on front-end load A Shares.

Breakpoints Disclosure Statement

Provides protection for rep. Evidences that you are disclosing breakpoints to your client.

Business Card Order Form

Provides protection for rep. Evidences that you are disclosing breakpoints to your client.

Cancel & Rebill/Error Report Form

Information must be provided for each order error. Supervisor prior approval required for rebill.

CEI Code of Ethics and Standards of Conduct

Client Complaint Report

Reps are required to submit to compliance immediately upon receiving a customer complaint, use codes provided.

Customer Risk Profile Questionnaire [FinCen CDD Rule]

Control persons of legal entities and trustees of irrevocable trusts will be required to complete the Risk Profile Questionnaire as part of the account opening package.

DOL Rollover Form

This form is required for all IRA Rollovers. It also covers, and is required for, recommendations to move brokerage to advisory as well.

Durable POA Affidavit Form

Required if a durable POA is over thirty (30) days old. You must have the agent execute the Durable Power of Attorney Affidavit before a notary, and submit with the POA.

Gift Approval Form

Used when giving or receiving gifts subject to firm’s gift policy.

Gifts, Gratuities, And Non-Monetary Compensation Log

Reps are required to maintain a log of gifts, gratuities, and non-monetary compensation.

Home Office Request Form

Used to conduct business from your primary residence. Compliance prior approval required.

Investment Objective Update Form

First Clearing form used when updating the investment objective for an account. Supervisor approval required.

Investor Profile – Brokerage

To be completed for any registration to accompany any alternative investment sale. This form is good for one year per registration. Supervisor approval is required.

Investor Profile – Brokerage (Additional Holder)

Used for additional Control Person(s) of a legal entity / additional Trustees of an irrevocable trust. To accompany Investor Profile – Brokerage form as needed. Required for all direct investments to capture suitability and know your customer information. It must be completed, signed and submitted with the Alternative Order Ticket – Brokerage, Sub Docs and account documentation (if required).

Joint Rep Code and Separate Responsibilities Request Form

Identifies reps responsible for an account and scope of responsibilities. Supervisor and compliance approval required.

Mainstar Notice of Permission Form

Provides authorization for firm to access accounts held at Mainstar Trust.

New York State Suitability Form

This form is required for all new annuity business in New York (fixed and variable).

OTC Equity Securities Suitability Form

Must be completed prior to recommending purchase or short sale of an OTC equity security.

Outside Account Request For Approval

Request approval to open an account at another firm where employee has beneficial interest or control. Supervisor and compliance prior approval required.

Outside Business Activity Request for Approval

Provide info for proposed OBAs. Compliance and supervisor prior approval required.

Private Securities Transaction Request

Must be completed to request permission to participate in a private securities transaction. Compliance and supervisor prior approval required.

Public Appearance/Seminar/Speaking Form

Used for all public appearances, presentations, seminars, or luncheons. Advertising review and pre-approval required at advertising@coastal-one.com.

Sponsor Reimbursement Form

The purpose of this is for situations where the RR is getting money from a sponsor OTHER than a DD seminar or dinner. This is to be forwarded to the sponsor, and the sponsor will fill out and send to the BD with a check. The firm then reimburses the RR in payout.

VA & VL Disclosure Form

Must be completed prior to sale of any variable products. Supervisor prior approval required.

Address Change Form

Client address change information. Supervisor approval required.

Alternative Order Ticket – Advisory

Required for Alternative Investments. Replaces the five-page Alt Suitability & Disclosure Form. Supervisor prior approval is required.

Annual Holdings Reporting Form

Annual Holdings Reporting Form

CIA Code of Ethics

Coastal Advisory Programs

Listing of all the products and fees in the Coastal Advisory Programs.

Complex Product Qualification Form

DOL Rollover Form

This form is required for all IRA Rollovers. It also covers, and is required for, recommendations to move brokerage to advisory as well.

Financial Exploitation Reporting Form

Financial Planning Agreement

Financial Planning Agreement

Initial Holdings Reporting Form

Reps are required to disclose reportable securities in which they have a beneficial interest.

Investment Advisory Agreement

Outlines the advisor’s commitment to the client and agreed-upon compensation.

Investor Profile – Advisory

Required for all direct investments to capture suitability and know your customer information. It must be completed, signed and submitted with Alt Investment Order Ticket, Sub Docs and account documentation (if required).

Investor Profile – Advisory (Additional Holder)

This form is required for additional account holders (more than 2). Required for all direct investments to capture suitability and know your customer information. It must be completed, signed, and submitted with Alt Investment Order Ticket, Sub Docs, and account documentation (if required).

Political Contribution Reporting Form

Reps are required to disclose all political contributions. Compliance prior approval is required.

Public Appearance/Seminar/Speaking Form

Used for all public appearances, presentations, seminars, or luncheons. Advertising review and pre-approval required at advertising@coastal-one.com.

Quarterly Transactions Reporting Form

Quarterly disclosure of all transactions in reportable securities in which rep has beneficial interest.

RIA Account Exit Template

Required letter submitted by client in order to close out an advisory account.

Solicitor Process

Instructions for setting up a relationship with a Solicitor.

Solicitor- W9

A W9 is needed for any Solicitor relationship.

Solicitor Agreement

This form is used to set up a relationship with a Solicitor.

Statement of Financial Condition

The Statement of Financial Condition is used to document an investor’s net worth. It must be completed, signed and submitted with Alt Investment Order Ticket, Sub Docs and account documentation (if required).

Accredited Investor Verification Form and Policy for 506c Offerings

Advertising/Seminar/Public Communications Form

ADVII

Anti Money Laundering Policy

Business Processing Guide

Coastal’s Business Processing Guide

CoastalOne Contact Matrix

Coastal Customer Account Fees

CoastalOne Fee Schedule – Exhibit B

Coastal Insurance Consulting Website

Coastal Investment Advisors Policies & Procedures Manual

Coastal Rep Pay Calendar (2023)

Customer Relationship Summary (Reg BI)

Cybersecurity Policies and Procedures Manual

First Clearing Client Account Fees

First Clearing-Coastal Fact Sheet

Information piece on SIPC coverage and the relationship between First Clearing and Coastal

Medallion Approval Request

Medallion Procedures

Non-Alt Selling Agreement

Required Branch Office Files Halfsheets

Required Branch Office Files Halfsheets

Regulation Best Interest Disclosure (Reg BI)

Regulation Best Interest Disclosure

WSP Manual (CEI)

Link to Coastal Equities Written Supervisory Procedures Manual