My Employer’s Compliance department needs information from Ellevest

“My employer requires that I send them duplicates of my statements.”

Please fill out this FINRA Approval Form:

• First: Complete The Account Owner Statement (page 2)
• Then have your Compliance department complete The FINRA Compliance Officer Statement (page 3)
• You can find your Goldman Sachs Custody Solutions account numbers by navigating to the user menu at the top right-hand side of your dashboard. Under the Accounts option, select the correct account to view your account information.
• Compliance Departments often ask for our Client Agreement and our Terms of Service

“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 Client Support 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: 

• Contribute or withdraw funds from your account, thereby triggering buy or sell orders of a model portfolio
• Tilt the composition of your model portfolio thereby changing the particular allocation of ETFs in your account
• Change the time horizon on your account thereby moving you to a different model portfolio

“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 Goldman Sachs Custody Solutions'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.