FIDUCIARY ADVISOR APPROVAL PROCESS Step 1 of 5 20% Fiduciary Advisor Candidate InformationAdvisor Candidate ("AC") Name First Last Date MM slash DD slash YYYY Phone NumberEmail Address Address Street Address Address Line 2 City State / Province / Region ZIP / Postal Code AfghanistanAlbaniaAlgeriaAmerican SamoaAndorraAngolaAnguillaAntarcticaAntigua and BarbudaArgentinaArmeniaArubaAustraliaAustriaAzerbaijanBahamasBahrainBangladeshBarbadosBelarusBelgiumBelizeBeninBermudaBhutanBoliviaBonaire, Sint Eustatius and SabaBosnia and HerzegovinaBotswanaBouvet IslandBrazilBritish Indian Ocean TerritoryBrunei DarussalamBulgariaBurkina FasoBurundiCabo VerdeCambodiaCameroonCanadaCayman IslandsCentral African RepublicChadChileChinaChristmas IslandCocos IslandsColombiaComorosCongoCongo, Democratic Republic of theCook IslandsCosta RicaCroatiaCubaCuraçaoCyprusCzechiaCôte d'IvoireDenmarkDjiboutiDominicaDominican RepublicEcuadorEgyptEl SalvadorEquatorial GuineaEritreaEstoniaEswatiniEthiopiaFalkland IslandsFaroe IslandsFijiFinlandFranceFrench GuianaFrench PolynesiaFrench Southern TerritoriesGabonGambiaGeorgiaGermanyGhanaGibraltarGreeceGreenlandGrenadaGuadeloupeGuamGuatemalaGuernseyGuineaGuinea-BissauGuyanaHaitiHeard Island and McDonald IslandsHoly SeeHondurasHong KongHungaryIcelandIndiaIndonesiaIranIraqIrelandIsle of ManIsraelItalyJamaicaJapanJerseyJordanKazakhstanKenyaKiribatiKorea, Democratic People's Republic ofKorea, Republic ofKuwaitKyrgyzstanLao People's Democratic RepublicLatviaLebanonLesothoLiberiaLibyaLiechtensteinLithuaniaLuxembourgMacaoMadagascarMalawiMalaysiaMaldivesMaliMaltaMarshall IslandsMartiniqueMauritaniaMauritiusMayotteMexicoMicronesiaMoldovaMonacoMongoliaMontenegroMontserratMoroccoMozambiqueMyanmarNamibiaNauruNepalNetherlandsNew CaledoniaNew ZealandNicaraguaNigerNigeriaNiueNorfolk IslandNorth MacedoniaNorthern Mariana IslandsNorwayOmanPakistanPalauPalestine, State ofPanamaPapua New GuineaParaguayPeruPhilippinesPitcairnPolandPortugalPuerto RicoQatarRomaniaRussian FederationRwandaRéunionSaint BarthélemySaint Helena, Ascension and Tristan da CunhaSaint Kitts and NevisSaint LuciaSaint MartinSaint Pierre and MiquelonSaint Vincent and the GrenadinesSamoaSan MarinoSao Tome and PrincipeSaudi ArabiaSenegalSerbiaSeychellesSierra LeoneSingaporeSint MaartenSlovakiaSloveniaSolomon IslandsSomaliaSouth AfricaSouth Georgia and the South Sandwich IslandsSouth SudanSpainSri LankaSudanSurinameSvalbard and Jan MayenSwedenSwitzerlandSyria Arab RepublicTaiwanTajikistanTanzania, the United Republic ofThailandTimor-LesteTogoTokelauTongaTrinidad and TobagoTunisiaTurkmenistanTurks and Caicos IslandsTuvaluTürkiyeUS Minor Outlying IslandsUgandaUkraineUnited Arab EmiratesUnited KingdomUnited StatesUruguayUzbekistanVanuatuVenezuelaViet NamVirgin Islands, BritishVirgin Islands, U.S.Wallis and FutunaWestern SaharaYemenZambiaZimbabweÅland Islands Country Phase One | Value AlignmentHow did the AC hear about Redhawk Wealth Advisors?What does the AC's business look like today?Please describe the best you can.What obstacles is the AC running into today?What does the AC's ideal practice look like in the next 3 years?Please describe the best you can.Philosophical Alignment/Value Proposition:Do you believe the AC is a Fiduciary Advisor? Yes No Please explain:Does the AC's BrokerCheck have any negative marks? Yes No Please explain:How many years has the AC been in the industry?<Please select>Under 33-56-89-1112-1415-1718+Describe the AC's work history.Please elaborate on any employment abnormalities or discrepancies.Does the AC have any negative marks when a Google search is done on their name? Yes No Please explain:Dan Hunt | Phase OneDo you approve this AC to move to Phase Two? Approve Denied Dylan Wondra | Phase OneDo you approve this AC to move to Phase Two? Approve Denied Additional considerations: Phase Two | DiscoveryCurrent Custodian Current Broker/Dealer Number of Client Accounts Number of Households Assets Under Management Does the AC hold a degree? Yes No Where from? Type of Degree: Industry Licences Series 63 Series 65 Series 66 Series 7 Series 24 Life and Health Property and Casualty Other Year the Series 63 was obtained: Year the Series 65 was obtained: Year the Series 66 was obtained: Year the Series 7 was obtained: Year the Series 24 was obtained: Year Life and Health was obtained: Year Property and Casualty was obtained: Year that "Other" Licenses were obtained:List each additional license and the year it was obtained.Were Licenses confirmed on BrokerCheck? Yes No Industry Designations CFP CFA CPA PFS ChFC CLU AIF Other Year the CFP was obtained: Year the CFA was obtained: Year the CPA was obtained: Year the PFS was obtained: Year the ChFC was obtained: Year the CLU was obtained: Year the AIF was obtained: Year that "Other" Designations were obtained:List each additional designation and the year it was obtained.Is the AC: Full-time Part-time Additional notes for consideration:If applicable.Will the AC be a/an: IAR RIA Additional notes for consideration:If applicable.Does the AC do insurance business? Yes No Describe insurance business:Annual Insurance Production:Does the AC have a DBA Name? Yes No AC DBA Name: Does the AC have Errors & Omissions Insurance? Yes No Additional notes for consideration:If applicable.Will the AC need additional Errors & Omissions Insurance? Yes No Additional notes for consideration:If applicable.Does the AC currently have any Outside Business Activities? Yes No Describe Outside Business Activities:Does the AC currently have an Assistant? Yes No Additional notes for consideration:If applicable.Does the AC currently have an Office? Yes No Additional notes for consideration:If applicable.Does the AC currently have a website? Yes No Website URL: Does the AC currently have any marketing partnerships/affiliations?? Yes No Please explain:Has the AC used marketing in the past? Yes No Please explain:Is the AC currently doing any marketing? Yes No Please explain:Does the AC have a budget for marketing? Yes No Please explain:Has the AC provided his personnel file from previous firm? Yes No Additional notes for consideration:If applicable.Has the AC provided his employee handbook from previous firm? Yes No Additional notes for consideration:If applicable.Dan Hunt | Phase TwoDo you approve this AC to move to Phase Three? Approve Denied Dylan Wondra | Phase TwoDo you approve this AC to move to Phase Three? Approve Denied Additional considerations: Phase Three | Best FitSelect the Redhawk Agreement the AC will use:Select all that apply. Legacy Managed Starter SOIP HOIP TOIP 3OIP Additional notes for consideration:If applicable.Does the Advisor have: Over $3 Million in AUM Risk tolerance in place Investment Philosophy Process for ongoing monitoring Additional notes for consideration:If applicable.Types of Investments the AC uses: Individual Stocks Individual Bonds ETFs Mutual Funds Private Placements Options Alternative/Complex Products Cryptocurrency Commodities Futures Other Additional notes for consideration:If applicable.Describe the "Other" InvestmentsTypes of Retirement Plans the AC uses: 401(k) 403(b) 457 CB Plan SEP SIMPLE DB Plans Other Additional notes for consideration:If applicable.Describe the "Other" Retirement PlansAC's current billing cycle: Quarterly in arrears Quarterly in advance Monthly in arrears Monthly in advance Additional notes for consideration:If applicable.Does the AC manage held away accounts? Yes No Will Quovo be needed? Yes No Additional notes for consideration:If applicable.Does the AC charge for financial planning? Yes No How are fees assessed?Are there any other fees that the client will pay?Does the AC use a reporting software? Yes No What reporting software does the AC use? Does the AC have full access? Yes No How is information obtained?Does the AC use a financial planning software? Yes No What financial planning software does the AC use? Does the AC have full access? Yes No How is information obtained?Does the AC use a CRM system? Yes No What CRM system does the AC use? Does the AC have full access? Yes No How is information obtained?Does the AC use any other system/software? Yes No Please describe additional systems/software that will need to used when onboarding.Dan Hunt | Phase ThreeDo you approve this AC to move to Phase Four? Approve Denied Dylan Wondra | Phase ThreeDo you approve this AC to move to Phase Four? Approve Denied Additional considerations: Phase Four | Final ApprovalHas a current book conversion analysis been completed? Yes No Additional notes for consideration:If applicable.Has a background check been completed? Yes No Additional notes for consideration:If applicable.Was AC approved on TD Ameritrade's platform? Yes No Additional notes for consideration:If applicable.When does the AC plan for transition?Time frame.Was the AC and their situation reviewed by the transition attorney? Yes No Additional notes for consideration:If applicable.Dan Hunt | Phase FourDo you approve this AC to be onboarded to Redhawk? Approve Denied Dylan Wondra | Phase FourDo you approve this AC to be onboarded to Redhawk? Approve Denied Rick Keast | Phase FourDo you approve this AC to be onboarded to Redhawk? Approve Denied Additional considerations: