Advisor Monitoring Document Uploads

Thanks so much. Your files have been successfully uploaded. The compliance team will review and forward the documents to the correct processing team for completion if all is in order.

If you would like to submit more documents please click here.

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Advisor Monitoring Document Uploads

Close Supervision and Sponsorship Monitoring Document Uploads

As an advisor under close supervision or sponsorship you are required to upload all account or policy opening documents as well as the required compliance documents.

Advisor First and Last Name *

Please enter your email below *

Client Name *

Please select the submission Type *

Please drop your files below *

Please select from the dropdown provided level of monitoring you receive *

If needed, please provide further instructions regarding any of the attached documents in this section.