If you're affiliated with the securities industry, you’ll need to complete an approval form from Folio Investments, the broker-dealer and custodian for your account, before you can begin funding your account. Once you’re an Ellevest client, you can:
- Download the PDF.
- Complete the Account Owner Statement (page 2).
- Then have your firm’s compliance team complete the FINRA Compliance Officer Statement (page 3).
- You can submit the form to Folio at firstname.lastname@example.org, or using the instructions on the first page.
A FEW HELPFUL THINGS TO NOTE
- You can find your Ellevest account number(s) on the Ellevest platform.
- See our Client Agreement and our Terms of Service for more information about Ellevest’s services.
- If you open another Ellevest account in the future, you’ll need to fill out an approval form and get approval for that account, too.
- Folio can’t provide physical statements or trade confirmation, but your compliance team can set up online access to this information using the form.
- Folio can also provide file extracts to compliance platforms such as Star Compliance and MyComplianceOffice. Reach out to our team at email@example.com for more information!