Client Forms

Dear Client,

There are many forms that we use to help you meet your goals. We have kept the list below to the basics that are used most often but we have many more customized to meet your needs. The first several are forms for initial appointments. Following those are Ameritrade investment forms. If you have any questions, please call us at 757-787-4693 or email us at john@johnfiege.com.

2010 Form ADV II Disclosure

We are required as a Registered Investment Advisor in the Commonwealth of Virginia to provide a copy of this Form ADV II to you prior to any engagement. Please review at your convenience.
Personal Data Gathering Questionnaire Confidential

Please review and fill in at least the first page to bring to your first appointment. If you cannot fill in more, please bring any financial documents you have that will enable us to complete it.
Privacy Statement
This form demonstrates our protection of your privacy as we secure all of your records with the greatest of confidentiality.
Authorization of Information
This form permits us to work with other professionals from whom we may need information to complete your financial plan.
Financial Satisfaction Questionnaire
This questionnaire helps us determine the areas where you do not have complete satisfaction concerning your financial matters. When we know the areas where you are not as comfortable, we can better assist you by focusing on your true concerns and needs.
Life Planning Questionnaire
FinaMetrica Risk Questionnaire
This questionnaire helps us determine the level of risk you are willing to take when investing. The completion of this form is required before we can give advice on your specific investing plan.
Monthly Budget Data Gathering Form
This form allows us to capture your monthly income and expenses by category. This data is critical in helping us to build a realistic financial plan that has integrity.
IRS Form 5304-Simple
IRS Form 5305-SEP Simplified Employee Pension
IRS Form 5305-Simple
Ameritrade Client ID Verification
Please be sure to have your driver's license or an officially recognized picture ID available at the initial consultation.
Ameritrade Standard Application
Ameritrade Standard Deposit Slip
Ameritrade IRA Application
Ameritrade IRA Deposit Slip
Ameritrade IRA Distribution Form 11-2007
Ameritrade Roth IRA Distribution Form
Ameritrade Account Transfer Form
Ameritrade Transfer on Death Agreement
Ameritrade Estate Account Application
Ameritrade Systematic Transaction Form for Mutual Funds

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Client Forms

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