This information applies to our Membership, Digital, and Premium clients.
“My employer requires that I send them duplicates of my statements.”
If your employer requires that they receive duplicate statements from your investing accounts on a monthly, quarterly, or annual basis, please note that Ellevest and our custodian Folio are unable to send duplicate statements and trade confirmations to a third party. Ellevest clients have the option to provide online access to a compliance department, or they can forward their statements to the relevant department.
Please fill out this FINRA Approval Form:
“My employer requires documentation stating that my accounts are fully managed.”
If your employer requires a copy of the Ellevest Membership Agreement, that can be found here. If your employer also requests a letter from Ellevest noting your specific account number(s), please contact our Concierge team and we can generate that letter for you.
Under the terms of our agreement, you'd have direct influence or control over your account to the extent that you could:
“I need to formally obtain FINRA approval because of where I’m employed.”
Once you open your account and are ready to obtain FINRA approval, you'll need to fill out our custodian Folio’s Approval Form. You'd first complete The Account Owner Statement (page 2), then have your Compliance department complete The FINRA Compliance Officer Statement (page 3). Compliance Departments often ask for our Client Agreement and our Membership Agreement.