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Applicants are instructed to submit insurance licenses and complete a package that does not certify licensing status. The materials include a Personal Data Sheet, Direct Deposit Authorization with banking rules (voided check required; no corporate accounts), and multiple compliance acknowledgments covering Compliance Manual use, client security certificate handling, advertising approvals, correspondence approval thresholds, retention obligations, and approved email/text messaging controls.",{"@graph":63,"@context":119},[64,80,102],{"@type":65,"itemListElement":66},"BreadcrumbList",[67,71,74,77],{"item":68,"name":69,"@type":70,"position":9},"https://docshare.wps.com","Home","ListItem",{"item":72,"name":10,"@type":70,"position":73},"https://docshare.wps.com/template/",2,{"item":75,"name":36,"@type":70,"position":76},"https://docshare.wps.com/template/forms/",3,{"item":78,"name":59,"@type":70,"position":79},"https://docshare.wps.com/template/disclosure-documents-registered-representative-disclosure-5/278046/",4,{"url":78,"name":59,"@type":81,"image":82,"author":87,"headline":59,"publisher":90,"fileFormat":93,"inLanguage":57,"description":61,"dateModified":94,"datePublished":95,"encodingFormat":93,"isAccessibleForFree":96,"interactionStatistic":97},"DigitalDocument",{"url":83,"@type":84,"width":85,"height":86},"https://docshare.wps.com/thumbnails/disclosure-documents-registered-representative-disclosure-5/278046.png","ImageObject",442,249,{"name":88,"@type":89},"Sarah ","Person",{"url":68,"name":91,"@type":92},"DocShare","Organization","application/pdf","2026-10-28","2026-09-15",true,{"@type":98,"interactionType":99,"userInteractionCount":101},"InteractionCounter",{"@type":100},"ViewAction",6,{"@type":103,"mainEntity":104},"FAQPage",[105,111,115],{"name":106,"@type":107,"acceptedAnswer":108},"What documents must be on file before registration begins?","Question",{"text":109,"@type":110},"All disclosure documents must be on file at the home office before registration begins, and copies of the relevant insurance licenses should be forwarded to expedite appointments.","Answer",{"name":112,"@type":107,"acceptedAnswer":113},"How is direct deposit authorization processed?",{"text":114,"@type":110},"Net commission/fee is deposited into the applicant’s checking or savings account, and processing requires attaching a voided check; starter checks are not accepted. Corporate accounts (e.g., LLC, S Corp, C Corp, DBA) cannot be used.",{"name":116,"@type":107,"acceptedAnswer":117},"What are the approval and communication requirements for compliance?",{"text":118,"@type":110},"Advertising and marketing materials must be submitted for Compliance approval prior to publication, and seminar materials and attendee lists require prior review. 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LLC, S Corp, C Corp, DBA etc.)  \nFor Admin. Use Only  \nSet Up (Name) Date    \nCompliance Manual(s) Acknowledgment  \nI acknowledge the following:  \nI have read and understand the contents ofthe Trustmont Group Inc. Compliance Manual(s) and agree to be bound by the policies and procedures therein. I have also accessed the Trustmont website to familiarize myself with its layout and the location of required paperwork, proceduresand policies.  \nI will provide new employees, including trainees, with access to the Compliance Manual(s) andwill ensure that all persons whom I supervise know and understand the contents ofthe Compliance Manual(s), as well as use it in day-to-day activities.  \nI will ensure that any supplements or revisions to the Compliance Manual(s) are distributed to persons under my supervision with proper instruction for their use.  \nSigned:  \nSignature  \nPrint Name  \nDate  \nClients’ Security Certificate Rule Acknowledgment  \nI am aware that Trustmont Financial Group, Inc. and Trustmont Advisory Group, Inc. and their agents and advisors are not permitted under regulatory rules to take possession of clients' security certificates or funds.  \nCUSTOMER SECURITY CERTIFICATES MUST BE MAILED BY THE CUSTOMER TO THE APPROPRIATE CORRESPONDENT. FINRA RULES DO NOT ALLOW FOR ANY REPRESENTATIVE TO TAKE POSSESSION AT ANYTIME OF ANY CERTIFICATES.  \nSigned:  \nSignature  \nPrint Name  \nDate  \nAdvertising Acknowledgment  \nI understand that ALL advertising and marketing materials must be submitted for approval to the Compliance Department of Trustmont Group, Inc via the online submission form on the website prior to its publication. I understand that the item may need to be submitted to FINRA’s advertising department for review. I am aware that there are costs associated with submitting advertising material to FINRA and that such costs would be my responsibility.  \nI also understand that if I in","cbCair8m6ZWiPCLM","https://ap.wps.com/l/cbCair8m6ZWiPCLM","pdf",7628662,27,"English","# Disclosure Documents\n## Pre-registration document submission\n## Personal Data Sheet\n## Direct Deposit Authorization\n## Admin Use Only\n## Compliance acknowledgments\n## Security certificate, advertising, and correspondence rules\n## Paperwork Guidelines Acknowledgment","[{\"question\":\"What documents must be on file before registration begins?\",\"answer\":\"All disclosure documents must be on file at the home office before registration begins, and copies of the relevant insurance licenses should be forwarded to expedite appointments.\"},{\"question\":\"How is direct deposit authorization processed?\",\"answer\":\"Net commission/fee is deposited into the applicant’s checking or savings account, and processing requires attaching a voided check; starter checks are not accepted. Corporate accounts (e.g., LLC, S Corp, C Corp, DBA) cannot be used.\"},{\"question\":\"What are the approval and communication requirements for compliance?\",\"answer\":\"Advertising and marketing materials must be submitted for Compliance approval prior to publication, and seminar materials and attendee lists require prior review. Correspondence to 25 or fewer customers does not require prior approval but must be logged monthly, while correspondence beyond 25 requires principal approval; securities email must use an approved Trustmont email and text messaging is prohibited unless archived and pre-approved.\"}]","Disclosure Documents - Registered Representative Disclosure - 5 | PDF",1789506520,9]