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Home » Internal- Business Account- New or Existing Client

Onboarding Business Accounts for Existing, New or Former Clients

MM slash DD slash YYYY
MM slash DD slash YYYY

General Information

Status:
Do they still need to be sent a Contact Form?
Are these Client/Business in Salesforce?
Primary Contact
First Name:
Last Name:
Phone:
Email:
 
*If NEW CLIENT, you will need to provide e-mail and phone numbers for all signing parties to begin the paperwork. THERE WILL BE A DELAY IF NO INFO IS PROVIDED.
Was the supplement Business Owner Contact Form filled out?
Company Information:
Please skip this information if the supplement Business Owner Contact Form was filled out.
Company Name
Fiscal Year End:
FEIN:
State of Incorporation:
Year of Incorporation:
Payroll Vendor and Frequency:
Business Code:
 
Type of Business Entity:
Does or has the employer ever sponsored another plan?
Other Companies Owned by Principals or Family:

Account Openings

Open:
Is this plan through:
Is this plan not to be opened right away?
Delayed Account Openings
Please fill out the information below on all accounts that need a delayed opening.
Account Type
When should the client be contacted:
Who is contacting the client at this date?
Notes
 

Participant Information

Do we have the participants' information?
If no, then:
Contact Who?
Name:
Phone:
Email:
 
Participant Information:
If the information is in a spreadsheet or other document, there is no need to type in the information below. Please upload the file(s) in the next section.
Name:
Phone:
Email:
Relationship to business:
 
Drop files here or
Max. file size: 100 MB.
    Additional Tasks to be added to Salesforce:
    Subject:
    Assigned To:
    Due Date:
    Priority: (Low, Normal, High)
    Notes:
     

    Rollovers

    Does the admin team need to facilitate 401K rollovers?
    Who needs rollovers:
    Paper statements are in file:
    Contact Who?
    Name:
    Email:
    Phone:
     
    Rollovers
    Client Name:
    Plan Provider
    Rollover Amount
    Plan Phone Number
     
    Drop files here or
    Max. file size: 100 MB.
      Additional Rollover Tasks to be added to Salesforce:
      Subject:
      Assigned To:
      Due Date:
      Priority: (Low, Normal, High)
      Notes:
       

      Account Transfer

      Does the admin team need to facilitate account transfers?
      Who needs transfers:
      Paper statements are in file:
      Contact Who?
      Name:
      Phone:
      Email:
       
      Transfers
      Client Name:
      Account #- New Account
      Delivering Firm
      Account Type
      Account #- Incoming Account
      Expected Amount
      Notes
       
      Drop files here or
      Max. file size: 100 MB.
        Additional Transfer Tasks to be added to Salesforce:
        Subject:
        Assigned To:
        Due Date:
        Priority: (Low, Normal, High)
        Notes:
         

        Move Money Requests

        Does the admin team need to facilitate move money requests?
        Who needs Move Money Requests:
        Banking Information has been gathered:
        Contact Who?
        Name:
        Phone:
        Email:
         
        Move Money Requests
        Client Name:
        Account Number - New
        Delivering Bank Name
        Bank Account #- Last 4 Digits
        Amount
        Frequency *
        Date to Begin-1-28th
        Joint account/ Business account
         
        * One-time, weekly, bi-weekly, monthly, quarterly, annually
        Additional Move Money Tasks to be added to Salesforce:
        Subject:
        Assigned To:
        Due Date:
        Priority: (Low, Normal, High)
        Notes:
         

        INTERNAL-Onboarding Business Accounts- EC/NC/FC

        Onboarding Business Accounts for Existing, New or Former Clients

        MM slash DD slash YYYY
        MM slash DD slash YYYY

        General Information

        Status:
        Do they still need to be sent a Contact Form?
        Are these Client/Business in Salesforce?
        Primary Contact
        First Name:
        Last Name:
        Phone:
        Email:
         
        *If NEW CLIENT, you will need to provide e-mail and phone numbers for all signing parties to begin the paperwork. THERE WILL BE A DELAY IF NO INFO IS PROVIDED.
        Was the supplement Business Owner Contact Form filled out?
        Company Information:
        Please skip this information if the supplement Business Owner Contact Form was filled out.
        Company Name
        Fiscal Year End:
        FEIN:
        State of Incorporation:
        Year of Incorporation:
        Payroll Vendor and Frequency:
        Business Code:
         
        Type of Business Entity:
        Does or has the employer ever sponsored another plan?
        Other Companies Owned by Principals or Family:

        Account Openings

        Open:
        Is this plan through:
        Is this plan not to be opened right away?
        Delayed Account Openings
        Please fill out the information below on all accounts that need a delayed opening.
        Account Type
        When should the client be contacted:
        Who is contacting the client at this date?
        Notes
         

        Participant Information

        Do we have the participants' information?
        If no, then:
        Contact Who?
        Name:
        Phone:
        Email:
         
        Participant Information:
        If the information is in a spreadsheet or other document, there is no need to type in the information below. Please upload the file(s) in the next section.
        Name:
        Phone:
        Email:
        Relationship to business:
         
        Drop files here or
        Max. file size: 100 MB.
          Additional Tasks to be added to Salesforce:
          Subject:
          Assigned To:
          Due Date:
          Priority: (Low, Normal, High)
          Notes:
           

          Rollovers

          Does the admin team need to facilitate 401K rollovers?
          Who needs rollovers:
          Paper statements are in file:
          Contact Who?
          Name:
          Email:
          Phone:
           
          Rollovers
          Client Name:
          Plan Provider
          Rollover Amount
          Plan Phone Number
           
          Drop files here or
          Max. file size: 100 MB.
            Additional Rollover Tasks to be added to Salesforce:
            Subject:
            Assigned To:
            Due Date:
            Priority: (Low, Normal, High)
            Notes:
             

            Account Transfer

            Does the admin team need to facilitate account transfers?
            Who needs transfers:
            Paper statements are in file:
            Contact Who?
            Name:
            Phone:
            Email:
             
            Transfers
            Client Name:
            Account #- New Account
            Delivering Firm
            Account Type
            Account #- Incoming Account
            Expected Amount
            Notes
             
            Drop files here or
            Max. file size: 100 MB.
              Additional Transfer Tasks to be added to Salesforce:
              Subject:
              Assigned To:
              Due Date:
              Priority: (Low, Normal, High)
              Notes:
               

              Move Money Requests

              Does the admin team need to facilitate move money requests?
              Who needs Move Money Requests:
              Banking Information has been gathered:
              Contact Who?
              Name:
              Phone:
              Email:
               
              Move Money Requests
              Client Name:
              Account Number - New
              Delivering Bank Name
              Bank Account #- Last 4 Digits
              Amount
              Frequency *
              Date to Begin-1-28th
              Joint account/ Business account
               
              * One-time, weekly, bi-weekly, monthly, quarterly, annually
              Additional Move Money Tasks to be added to Salesforce:
              Subject:
              Assigned To:
              Due Date:
              Priority: (Low, Normal, High)
              Notes:
               

              Contact Info

              Scarlet Oak Financial Services
              1117 Perimeter Center West,
              Suite W-212
              Atlanta, GA 30338

              800.871.1219

              fsykes@scarletoakfs.com

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              Disclaimer

              Advisory services offered through Capital Asset Advisory Services, LLC, a Registered Investment Advisor. This site is published for residents of the United States only. Representatives may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed until appropriate registration is obtained or exemption from registration.

              © 2022 Scarlet Oak Financial Services.

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