New Account With a Broker or Investment Adviser

Last updated: April 13, 2016

How Do I Set Up an Account With a Broker or Investment Adviser?

After selecting a broker or investment adviser, they will ask you to complete a new account form.  It will include: 

This financial profile is kept confidential. Brokers and advisers are required to know your financial situation. 

  • They will not be able to provide you with suitable recommendations otherwise.

You may be hesitant to divulge this information. However, the broker or adviser cannot make proper recommendations without it.

*The information on this page is credited to IPT and Kiplinger. Their original materials are made available on the Kansas Securities Commissioner's website.

This article is published on KansasMoney.gov. Find more information by contacting these state agencies: