MOST forms below need pre-approval, email completed forms from this section to compliance@trustmontgroup.com, fax to 724-468-5675, or mail to the home office attention compliance department.

  • Cash & Non-Cash Compensation Log
    Required when you wish to attend a meeting, seminar, training that will be paid for by a third-party product sponsor or provider (including travel expenses, meals, lodging, prizes, awards, etc). Also required if/when a third party pays, in whole or in part, for an educational meeting, seminar, event you host. Payments must be pre-approved and recorded in this log. Please note: Registered Representatives may NOT receive any cash compensation directly from outside firms or persons.

  • Intent to Use Social Media Sites
    Required for making a change to any already approved social media or when you want to use any new social media for business or personal use. You must receive approval prior to using.

  • Outside Business Activities
    Upon being hired by Trustmont, you were required to disclose all outside business activities for which you are an owner, officer, principal, president, partner, etc, as well as other entities you are employed by or doing business as. This includes outside activities you receive compensation for (nonprofits, board appointments, rental properties, notary public, etc). After your initial disclosure of this information, additional outside business activities or any change in existing outside business activities are NOT permitted without pre-approval from Compliance. See FINRA rule 3270 for more information.

  • Private Securities Transactions
    Registered individual are strictly prohibited from engaging in private securities transactions (any transaction not sponsored or approved by an authorized principal of this broker-dealer) without pre-approval. 

  • Political Contributions Quarterly Log
    Required quarterly for all reps that are making political contributions to any government entity, official, or candidate.  This includes but is not limited to state representatives, school board candidates, political action committees, presidential campaigns, etc. Form should be emailed to compliance@trustmontgroup.com or faxed directly to Trustmont on no less than a quarterly basis. All advisors and registered representatives MUST have all political contributions of $250 or more per individual per election pre-approved by the firm's compliance department prior to making the donation.  These requests should be emailed to compliance@trustmontgroup.com with the subject line of "political contribution for approval".  Please include the amount and receiving party in your email along with any other details.

  • Cyber Security & Electronic Device Disclosure
    Required if you make a change to your cyber security or electronic devices within your office.

  • Certification of Outside Brokerage Account
    Required quarterly for any outside personal account in which the custodian does not provide statements directly to the home office.

  • Personnel Disclosure
    Required to disclose all office personnel/staff members and if/when employment is terminated

  • Negative Response Letter (on Trustmont letterhead)
    To be mailed to your client with a copy of most recent CPF when completing a 36-month update if in person is not possible.  A copy of the letter and accompanying CPF should be submitted to the operations department just as you would a new/updated CPF, any client response to the letter should also be submitted to operations.

  • Negative Response Letter (without Trustmont letterhead - to be put on your own PREAPPROVED letterhead if you have it, if not you must use other letter)
    To be mailed to you client with a copy of most recent CPF when completing a 36-month update if in person is not possible.  A copy of the letter and accompanying CPF should be submitted to the operations department just as you would a new/updated CPF, any client response to the letter should also be submitted to operations.