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Pre-Approval Questionnaire
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FULL NAME
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LEGAL PRACTICE NAME
This field is required.
WHAT % OF THIS BUSINESS DO YOU OWN
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YEARS OF EXPERIENCE AS AN ADVISOR
This field is required.
HOW MANY YEARS HAVE YOU BEEN WITH YOUR CURRENT FIRM?
This field is required.
OFFICE PHONE
MOBILE PHONE
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EMAIL
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BUSINESS ADDRESS
CITY/STATE
City/Town
State/Province
- None -
Alabama
Alaska
American Samoa
Arizona
Arkansas
Armed Forces (Canada, Europe, Africa, or Middle East)
Armed Forces Americas
Armed Forces Pacific
California
Colorado
Connecticut
Delaware
District of Columbia
Federated States of Micronesia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Marshall Islands
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Northern Mariana Islands
Ohio
Oklahoma
Oregon
Palau
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virgin Islands
Virginia
Washington
West Virginia
Wisconsin
Wyoming
ZIP/Postal Code
HOW MUCH FINANCING ARE YOU APPLYING FOR?
This field is required.
($200,000 MINMUM)
PROJECTED CLOSE DATE
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WHAT TYPE OF LOAN ARE YOU APPLYING FOR?
Aquisition
Partner Buy In
Partner Buy Out
Equity Purchase
Business Debt Refinance/Consolidation
Line Of Credit
Working Capital
(CHECK ALL THAT APPLY)
PRACTICE TYPE
Registered Investment Advisor
Investment Advisor Representative
Registered Representative
Other
BUYER’S BROKER DEALER OR CUSTODIAN
SELLER’S BROKER DEALER OR CUSTODIAN
BUYER'S CURRENT AUM
SELLER'S CURRENT AUM
BUYER’S TRAILING 12 REVENUE
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SELLER'S TRAILING 12 REVENUE
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BUYER’S FEE BASED/RECURRING REVENUE?
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SELLER’S FEE BASED/RECURRING REVENUE?
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IS THE BUYER’S BUSINESS DEBT FREE?
PERSONAL CREDIT SCORE
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- Select -
800+
751-800
700-750
700 or below
ESTIMATED PERSONAL LIQUIDITY
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ESTIMATED TOTAL RETIREMENT ASSETS
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ESTIMATED BALANCE OF PERSONAL LIABILITIES
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ESTIMATED NET WORTH INCLUDING BUSINESS
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ESTIMATED NET WORTH EXCLUDING BUSINESS
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Are you in good standing with FINRA and/or SEC?
Yes
No
Have you been charged or convicted of a felony ?
Yes
No
Have you ever filed for or taken bankruptcy, composition / settlement / assignment for benefit of creditors, or had a short sale of real estate or other property?
Yes
No
Are you or have you ever been a defendant in any suits or legal actions?
Yes
No
Do you have any tax liens or contested taxes ?
Yes
No
Have you ever been charged with, arrested, convicted, placed on pre-trial diversion, or placed on any form of probation, including adjudication withheld pending probation for any criminal offense other than a minor vehicle violation? Include DUI and DWI offenses and those which have been dismissed, discharged, or not prosecuted.
Yes
No
Have you been a party to a foreclosure, repossession, debt settlement and/or short sale proceeding?
Yes
No
HOW DID YOU HEAR ABOUT US?
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Leave this field blank
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