Compliance Document Center
Public Appearance Form
If you have any questions, please reach out to Merritt Harrell.
Submit here.
PST Approval Form
Enter in a pre-clearance request here.
Non-Cash Compensation Form
Please download and return to Merritt Harrell.
Download here.
Gift and Business Entertainment Log
Enter in a pre-clearance request here.
Business Card Guidelines
Written Supervisory Procedures
WealthForge Securities - Download here.
WealthForge Distributors - Download here.
Email Submissions
Training videos
RedOak - How to Create a Submission
Regulation BI Information
Reg BI/CRS Prospect Form
WealthForge Reg BI Firm Document
WealthForge Form CRS Document
Broker Dealer Commission Reduction Form
Investment Profile Form
Investment Recommendation Form
Reg BI Resource Video