Forms Library
The Kingswood Forms Library houses all Kingswood forms that need to be completed as you manage different aspects of your client accounts and business practice.
- Should you need forms from our custody or clearing partners - RBC, Raymond James, Charles Schwab or TD Waterhouse - please log into their corporate portals.
- Should you need IRS forms, please search the Forms, Instructions and Publications section of the IRS website.
- Need help getting started or figuring out which form you need? Please contact our Operations Team at operations@kingswoodus.com
- If you'd like to request we add a form to this library, please contact Ryan Sabet at rsabet@kingswoodus.com
It may be more efficient to complete forms through your LaserApp portal. If you are not already using LaserApp, please email our Operations Team at operations@kingswoodus.com to get started.
NOTE: If one of the fields in your form is not fillable, try downloading the document instead of editing it in the browser.
Kingswood Forms
Anti-Money Laundering Program
Our AML policies, procedures and internal controls are designed to ensure compliance with all applicable BSA regulations and FINRA rules and will be reviewed and updated on a regular basis to ensure appropriate policies, procedures and internal controls are in place to account for both changes in regulations and changes in our business.
Anti-Money Laundering Program
Our AML policies, procedures and internal controls are designed to ensure compliance with all applicable BSA regulations and FINRA rules and will be reviewed and updated on a regular basis to ensure appropriate policies, procedures and internal controls are in place to account for both changes in regulations and changes in our business.
Cybersecurity Policy and Procedures Manual
This Cybersecurity Policy and Procedures Manual establishes the framework through which Kingswood US(“the Firm”) maintains the confidentiality, integrity, and availability of its information systems and client data.
Cybersecurity Policy and Procedures Manual
This Cybersecurity Policy and Procedures Manual establishes the framework through which Kingswood US(“the Firm”) maintains the confidentiality, integrity, and availability of its information systems and client data.
Written Supervisory Procedures
Our Firm's Compliance Department, led by our CCO, is responsible for the issuance and dissemination of all policies, procedures and directives put into place to govern the conduct of this Firm and its associated persons.
Written Supervisory Procedures
Our Firm's Compliance Department, led by our CCO, is responsible for the issuance and dissemination of all policies, procedures and directives put into place to govern the conduct of this Firm and its associated persons.
Alternative Investments
Annuities
Insurance
Investment Banking
KEAP
Mutual Funds and Interval Funds
Structured Products