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Use this form to enter each gift or gratuity you provide to a client. Enter only one item per form. Click "Submit" below when finished.
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FINRA Rule 3220
No member or person associated with a member shall, directly or indirectly, give or permit to be given anything of value, including gratuities, in excess of one hundred dollars per individual per year to any person, principal, proprietor, employee, agent or representative of another person.
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| All representatives are required to file a gift and gratuity log at least quarterly, even if the register contains no entries. Is this a required quarterly filing that contains no entries? |
Yes
No |
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If this is a required quarterly filing with no entries, select "Trustmont Financial" in the next question, enter your representative number, name and e-mail address where requested, and enter the word "quarterly" in every subsequent question.
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| Which Trustmont Unit? |
Trustmont Financial (Brokerage)
Trustmont Advisory |
| Enter Your Trustmont Representative Number: |
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| Representative's Last Name: |
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| Representative's First Name: |
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| Email Address: |
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| Date |
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| Recipient Last Name: |
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| Recipient First Name: |
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| Face value: |
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| Description of gift or gratuity. |
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