OUR REQUIRED FORMS

Several commonly required forms for establishing new accounts are available here for the convenience of our clients and prospective clients.

Please note, however, that new clients will not be accepted without a telephone interview to determine if our style of investing is suitable to your situation.

In addition, these are only the most common forms required and many accounts require different or additional forms.

Please call us to schedule an interview and to determine the appropriate forms for your situation.

Most of these forms can be filled out on-line, then printed for signature and mailing. Note that if you only have the Adobe Acrobat Reader, and not the full Adobe Acrobat software, you will not be able to save the filled-out version, so be sure to print before closing the form.

SCMI Privacy Policy: This is our pledge describing how your personal information will be handled by SCMI.

SCMI Financial Profile: This is a required form that helps us determine if our investing style is suitable to your situation.

SCMI Management Agreement: Our required standard contract in which you specify the management style you would like and the fee structure, etc.

Fidelity Standard Account Application:  For non-retirement Individual, Custodial, Joint, Trust and Business accounts. We use Fidelity Institutional Brokerage as the custodian for nearly all of our clients' accounts. Please DO NOT fill out the attached Transfer Application without discussing funding options with an SCM representative.

Fidelity IRA Account Application: Appropriate for Roth, Traditional, Rollover and SEP IRA accounts. We use Fidelity Institutional Brokerage as the custodian for nearly all of our clients' accounts.  Please call SCM to make certain this is the correct form to use and please DO NOT fill out the attached Transfer Application without discussing funding options with an SCM representative. For legal reasons, this is a very long document. You do NOT need to print or return the first 50+ pages of information. Print, sign and return only those portions of the actual application appearing near the end of the document which apply to you. You should of course read the entire document and consult with your accountant or call us if you have any questions.

Fidelity IRA-Beneficiary Distribution Account: If you have inherited an IRA, this is the form you will need to transfer the assets to an Beneficiary Distribution Account.

For an appointment to discuss our services, please call (860) 242-6400, or e-mail us at: consensus@spearcapital.com.