Transcription of Branch Office Checklist - The Planners Network
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Branch Office Checklist - The Planners Network
1 The Planners Network , Inc. Branch Office Compliance A Registered Investment Advisor Audit Pre-Visit Checklist 42145 Lyndie Lane, Suite 116 Temecula, CA 92591 (951) 676-6288 Please answer the questions below. Use additional sheets if necessary. BACKGROUND INFORMATION AND REPRESENTATIVE STATUS 1. Please list persons in your Office providing investment advice to clients or who are TPN representatives: Name: _____ Office Location: _____ Name: _____ Office Location: _____ Name: _____ Office Location: _____ 2. Please list persons in your Office who are not registered RIA representatives of TPN and briefly describe their job functions: Name: _____ Job Function: _____ Name: _____ Job Function: _____ Name: _____ Job Function: _____ 3.
1 The Planners Network, Inc. Branch Office Compliance A Registered Investment Advisor Audit Pre-Visit Checklist 42145 Lyndie Lane, Suite 116 Temecula, CA 92591 …
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