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referral survey

Thank you for thinking of us! Before we can send you a referral gift, we are required by federal regulations to confirm that you have not been involved in any serious legal or regulatory issues related to financial services.

Please take a moment to read and complete this form.

personal info

attestation

I confirm that:

1. I have not been convicted of any felony involving fraud, theft, dishonesty, or similar misconduct.

2. I have not been the subject of a court order or government action related to fraud, theft, dishonesty, or financial misconduct.

3. I have not been barred or suspended by the SEC, FINRA, or any other financial regulatory agency.

4. I am not currently disqualified from participating in financial promotions or referral programs under federal securities laws.

I affirm that the statements above are true and accurate to the best of my knowledge.

I affirm that the statements above are true and accurate to the best of my knowledge.
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Signature
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đź”’This form is kept on file by Core Planning for regulatory purposes only. We will not share or sell your information.