Financial Professional Login
This site is designed for employees and Investment Professionals of Woodlands Securities Corporation and Woodlands Asset Management, Inc.
Unauthorized use of this Information is strictly prohibited.
Business Continuity Plan and Internet Email Access (cards)
WinOps Dashboard
Calendar of Events
WSC PRODUCT LISTS/Information:
Private Offering Info:
- Product Review: Valley Ranch Town Center Offering
Restricted List
List of securities prohibited in Associated Person’s personal accounts or client accounts for the following reasons:
- For any type account, while in possession of inside information relating to a security;
- In personal accounts for Hot Issues where Company is an underwriter;
- In personal accounts for new issues of securities that immediately begin trading at a higher price than originally offered.
Registered Reps
WSC Firm State Appointments
WAMI-State DeMinimis-Regn Requirements
WSC Registered Rep Forms & Information:
- Registration Procedures/Checklist
- FINRA Form U-4
(U-4 form takes several minutes to dowload) - Sales Associate Agreement
- Confidentiality Agreement
- Written Supervisory Procedures (WSP)
- WSP Signature Pages and Regulatory Checklist
- WSP - Reg BI
- Elder Abuse: What to Do if You Suspect Abuse
- WSP-Current Draft
- Outside Securities Account Notice
- Private Securities Transaction Disclosure Form
- Outside Business Activity Disclosure Form
- Professional Designation Notice
- Non Cash Compensation Form
- Seminar Notice
- Business Gift Notice
- Sharing in Customer Acct Notice
- Political Contribution Notice
- Consolidated Reports Guidelines
- Identity Theft Investigation
- E&O Policy - 11/22/23
- NAIC - Annuity Standard of Care Forms
- Anti-Money Laundering: Office Of Foreign Assets Control (OFAC) New Account Name Search:
- apps.Finra.org/Rules_&_Regulation/ofac
(print out the report to file with New Account Form in Customer file.)
OFAC Compliance Division
- Hotline: (202) 622-2490
- Fax: (202) 622-2426
- www.treas.gov
- OFAC Search Tool: https://ofac.finra.org/#/
WAMI Agent Forms:
WSC FORMS & Information:
- New Account Opening Process
- New Account Form/ CRS-100322
- OLD - Rec W.S. (do not use)
- Beneficial Ownership Certification Form
- Callable CD Disclosure Form
- Insurance Product Disclosure Form and VA Worksheet
- MF Disclosure Form & BP Worksheet
- 529 Plan Disclosure Form
- IRA TRANSFER or IRA ROLLOVER Disclosure Form & Worksheet
- Equity Indexed Annuity Disclosure Form.pdf
- Municipal Bond Disclosure Form
- Penny Stock Form & Disclosures.pdf
- WSC Service Request.pdf
- WSC Letterhead
- Background Search Authorization
- Electronic Delivery Consent
- HTS - Inactivity Fee Exemptions.pdf
- HTS - Clearing Charges Schedule
- For HTS Forms:
Accessible through Momentum (can be found under Service Center/ Departments/Forms) - Elder Abuse: What to Do if You Suspect Abuse
Retirement Forms & Other Information:
- Ltr-Retirement Plan Options
- BROCHURE-Options for Your Retirement Plan
- The 6 Step Investment Interview
- Client Acquisition Checklist
- Acct Type-Fee Comparison
- Client Acct Review Chart
- New Fiduciary Advice Exemption - PTE 2020-02 - FAQs (download pdf here)
- Seniors & Financial Exploitation Training
- Senior Safe Act FACT SHEET & FAQs
WAMI FORMS & Information:
- NEW ACCOUNT CHECKLIST
- New Account Form - with Form CRS (03/23/21)
- Beneficial Owner Certification Form
- WAMI Investment Agreement & Exhibits - 0522
- WAMI-InvAgmt-ERISA Plan
- WAMI Form ADV Part 2A_2B-032222
- (03/23/21, 03/20/20, 03/20/19, 03/20/18, 03/20/17, 03/21/16, 03/20/15,14,13, 10/04/12, 03/20/12, 3/20/11,10,09,08,07, 03/06/06, 3/24/04, 8/8/03, 3/20/03,02,01)
- IRA TRANSFER or IRA ROLLOVER Disclosure Form & Worksheet
- WAMI Sub-Advisor Agreement Form.pdf--need new PDF
- WAMI - Sample Performance Disclosures
- For Schwab Forms:
Can be obtained from the Schwab Institutional website. Contact our office to issue UserID and Password
www.schwabinstitutional.com