Polar Investment Counsel Inc.       

Member: FINRA, NFA, MSRB, SIPC

Independent Securities & Futures Brokers

Home Office: Thief River Falls MN

Annual Compliance Packages have been sent * Please complete all elements by April 1 2019 * U4 Review - Compliance Certificationn - Compliance Meeting - OBA Review - NFA Attestation

 

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HO P&P

June 2018

 

WSP Manual

June 2018

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FINRA

MSRB

SIPC

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PICI CIB

Customer

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Brochure

(All associates should be familiar with this brochure)

 

PolarInvest1.com


 

Forms & Documents


PICI  ACCOUNT DOCUMENTS

HTS  ACCOUNT DOCUMENTS

Account Opening Procedures 2019

Account Approval Form 2019

New Account Document 2019

Trust Account Supplement 2019

Partnership Account Supplement 2019

Institutional New Account Document 2019

Account Information Change Form 2019

Fund Request 2019 (fee charged to process wire transfers)

Fed Wire Authorization 2019 (client must sign)

Internal Journal Request 2019 (former Asset Transfer Form)

Access all HTS documents via the HTS Service Center

INSURANCE DOCUMENTS

Annuity Purchase Disclosure Form 2019

Annuity Exchange Disclosure Form 2019

NFA FORMS (Futures-Commodities)

NFA Self-Exam Checklist (IB)

Commodities S&P Manual January 2018

ORDER TICKETS

Bond Ticket 2019

Muni Order Ticket Approval 2017

COMPLIANCE FORMS & DOCUMENTS

 

AIP Approval Form 2018

AIP Disclosure 2017

Characteristics & Risks of Standardized Options 

Check Received Notification 2019

Due Diligence Instructions 2019

Due Diligence Template 2019

Fine List

Firm Audited  Financials 6-30-19

Low Price Securities Documentation 2019

Mutual Fund BD Change Request 2019

NCFA Privacy Policy 2019

Outside Business Activity 02-2017

Securities Certificate Delivery Notification 2019

Trade Correction Report Form 2019

Unsolicited Transaction Acknowledgement 2019

W-9 Form

 

 

 

 

PICI 2019

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Polar Investment Counsel Inc.

19547 210th Ave NE   Thief River Falls MN  56701  

218-681-7344 ~ 218-681-1329 {fax}

     Mike  Jordan - President, CEO          Sherry Abbott - Exec VP, CCO, CFO

mjordan@polarinvest1.com                sabbott@polarinvest1.com