Broker Check

Randy Umbaugh

(574) 268-2844

Tips for Clients with RBC Capital Markets Accounts

My clients with brokerage accounts at RBC Capital Markets should recently have received a letter from cfd Investments, Inc.   The letter informed you that effective June 1, 2020 all processing for those brokerage accounts will become the responsibility of NFS rather than RBC.   The forms mailed to you were specific for each account, so if you have more than one account the forms in each packet might be the same or slightly different for each account    I am available by phone or email for specific questions that you might have, but here are a few general tips to help you.

  • Only the yellow pages need to be completed and returned. Please keep the white pages for your information (and make it easier to fit the yellow pages into the envelope).  
  • The form “Asset Movement Authorization” is a 2-page form with a 3-page attachment for Customer Instructions and Terms and Conditions.  Only the first 2 pages should be completed and returned.  You may keep the last 3 pages even though they are yellow.
  • If you have more than one account and the forms are similar, please write along the top an identifier such as your current RBC account number, or a label such as “IRA” or “Roth IRA”.
  • The completed forms can be returned in one of three ways:
    • Mail to cfd Investments, Inc. in the envelope(s) provided.       Each packet included an envelope.
    • Drop off at my office, 1621 W. Lake St, Suite B, Warsaw IN 46580.
    • Fax to 866-833-7734.
  • Call or email me with any other questions.

574-268-2844

877-862-2844 (toll-free)

Randy@DiligentWealth.com