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Trusted Contact

Trusted Contact

Adding a Trusted Contact: 

Adding a trusted contact benefits you and your Advisor by providing a resource to contact if we have reason to believe financial exploitation may have occurred, is occurring, has been attempted or will be attempted.  It puts us both in a better position to keep your account safe.  Financial exploitation involves the unauthorized or improper use of the adult’s assets, funds, or property for personal gain by strangers, caregivers, family members, or other trusted persons.  This is a growing problem that targets seniors and vulnerable adults, and the best way to help fight against it is to establish a trusted contact.

Designating Trusted Contacts allows us to contact your trusted person in cases of emergency, or under certain circumstances, such as a change in your health status.  Likewise, your Trusted Contact may contact us in the same circumstances.



Why are you asking me to designate Trusted Contacts? 

FINRA added an amendment to Rule 4512 (Customer Account Information) that members (your financial advisor) make a reasonable effort to obtain the name of, and contact information for, a Trusted Contact Person for our clients.

We believe this is a positive step to help us better protect our client accounts.


Who Qualifies as a Trusted Contact?

A trusted contact is recommended to be someone you trust, have regular contact, and is generally aware of your whereabouts and well-being. This individual must be 18 years or older at the time you establish a trusted contact.  This could be, for example, a family member, a trusted friend, lawyer, accountant, or clergyman.

  • Your authorization of a trusted contact allows us to share information with them if suspected financial exploitation, fraud or an emergency occurs.  It also allows for them to confirm contact information and provide information on your health status.
  • It does not give your trusted contact the ability to make any changes or take action on your account(s), nor receive your confidential information regarding your account holdings, such as account numbers, values, and balances.

Click Here to learn more about Trusted Contacts.

We encourage you to designate your trusted contacts today.  You may designate two or more if you wish.  Please contact us to discuss details, answer any questions, or start the process today!

What information do I need for my Trusted Contact(s)?

  • Full Name
  • Complete Address
  • Phone Number(s)
  • Email address if available

How do I designate my Trusted Contacts?

  • Call 1-877-566-9468 and tell us your desired Trusted Contacts.  Convenient, fast, and no paperwork needed!



  • Call 1-877-566-9468 and request the form be mailed to you for completion.

Thank you!

I appreciate you taking the time to complete this important part of your file.   If you have any further questions about what a Trusted Contact is, whom you should choose, and how to plan, I am here to help.  If you have questions, please contact me.  Thank you!


Jason Knox, AIF®, CRC®