FINRA Rule 3241 requires that registered persons must decline being named a customer's beneficiary or holding a position of trust for a customer unless the customer is a member of the registered person's immediate family, or he/she receives approval from a Principal of Trustmont.   


This form is to be used to provide written notice to Compliance to request approval to hold a position of trust, being named a beneficiary of a customer's estate or receiving a bequest from a customer's estate.

Your request is not approved until you receive written approval from a Principal of Trustmont.

Your Name (first & last)
Rep/Adv #
Email Address
What is your affiliation with Trustmont? TAG
Status Beneficiary
Receiving Bequest from Customer Estate
Client Name
Account Type
Where is the account held (bank name, insurance company, fund company, custodian, etc.)?
Will you have signature authority on this account? yes
Is the owner of this account a member of your immediate family as described in FINRA Rule 3241? yes
If answered yes, provide relationship
Please provide any other information or special circumstances you feel may be relevant in approving this request.