All new business must be submitted in hard copy for pre-approval to Trustmont's Home Office at:
200 Brush Run Rd, Ste A, Greensburg, PA 15601
To help determine what advisory fees to charge based on services offered please refer to Trustmont's Fee Structure Guide

Required Paperwork for Charles Schwab Business

  • Client Profile Form
    All new business requires a Client Profile Form, for guidance on how to complete the Client Profile Form, click here.  If your client(s) do not want to provide a "Trusted Contact" indicate that by marking the box "Client declines to provide a Trusted Contact" in the Trusted Contact section of the Client Profile Form.
    Please note: Including a copy of client(s) current driver’s license is highly encouraged.

  • Trustmont Required Disclosures Delivery Confirmation Cover Sheet (Financial & Advisory)
    This form must be submitted to the home office with all new business paperwork (including change of broker/dealer) as well as additional investments into an account that is 25% of the existing value or $50,000+ whichever is lower. If a recommendation did not result in additional required paperwork, this form is to be retained at the branch office in either paper or electronic form and made available to Compliance upon request. 

  • Financial Advisory Account Description
    The description page provides Trustmont more detailed information on your advisory client and the account you are opening.  This 1-page document is prepared by the Advisor, the client(s) do not sign it. It must be submitted with every new application and/or an additional investment into a contract that is 25% of the existing value or $50,000+ whichever is lower.

  • Financial Advisory Agreement
    All new advisory accounts must be submitted with a Financial Agreement. If you are using a "Schedule B" please be sure it falls within the stated parameters (.5% to 1.5% per year) and attach it to this document when submitted to Trustmont.

  • Fund Company Paperwork
    For questions on Charles Schwab paperwork, contact the Charles Schwab IG20 team/Justin Reed:

Required Disclosures

  • CRS (Client Relationship Summary)
    Provide this document to every new customer, Trustmont does not need a copy.

  • Business Continuity Plan
    Provide this document to every new customer, Trustmont does not need a copy.

  • Privacy Policy - CIP - SIPC
    Provide this document to every new customer, Trustmont does not need a copy.

  • ADV Part 2A
    Provide this document to every new customer, Trustmont does not need a copy. This document explains Trustmont Advisory Group's policies and is on file with the Securities and Exchange Commission. It must be reviewed periodically to ensure you are operating within the boundaries of Trustmont's policies. 

  • ADV Part 2B
    Provide this document to every new customer, Trustmont does not need a copy. This is the "personal brochure" part of the ADV, you should have worked with Trustmont to create this when you became an advisor.

  • Ethics Policy
    Provide this document to every new customer, Trustmont does not need a copy.

Potentially Required

  • Rollover Analyzer
    Required for all IRA to IRA transfers, Plan (401K/403B/457/etc) to IRA Transfers and Plan to Plan Transfers. For a quick start guide, including log in information, a link to a video demonstration and user guide, click here.

  • Risk Tolerance Questionnaire - Single
    Required if you are placing a new Charles Schwab account on the Trustmont Managed Account Platform.

  • Risk Tolerance Questionnaire - Joint
    Required if you are placing a new joint Charles Schwab account on the Trustmont Managed Account Platform.

  • Signature Guarantee Request Form
    Required when requesting any Medallion Signature Guarantee, limit of $250,000, anything higher must be directed to a bank, credit union, etc. Must be accompanied by a copy of the client(s) current driver’s license, passport, or government issued ID.