*ifp-537-------* - voya · 2020. 6. 5. · *ifp-537-----* voya financial advisors, inc. member sipc...

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Page 1 of 1 Order #158351 05/26/2020 CERTIFICATION FOR SIGNATURE GUARANTEE/VALIDATION *IFP-537-------* Voya Financial Advisors, Inc. Member SIPC 699 Walnut Street, Ste. 1000 Des Moines, IA 50309-3975 • 800-356-2906 Account Number (if applicable) Related Work Item (if applicable) Name (Please print.) Office Location Rep Number Owner Name Joint Owner Name Distribution/Redemption Liquidation Change of Broker/Dealer Change of Registration Transfer/Journal Other $ I hereby certify that: 1. Check One. The client(s) have a customer relationship with Voya Financial Advisors and his/her/their signature(s) is/are known to me, and the attached document was signed in my presence. The client(s) have an existing account with Voya Financial Advisors and his/her/their signature(s) is/are known to me, I have previously met the client(s) in-person, and the attached document was signed in my presence over Zoom video conferencing technology. 2. The client(s) has/have reached the age of majority in the jurisdiction in which the transaction will occur. 3. The client(s) is/are legally competent and authorized to execute this transaction on the date of the request. I agree to indemnify and hold Voya Financial Advisors and any personnel authorized by Voya Financial Advisors to guarantee/ validate signatures (Authorized Individual) harmless from any loss, liability, claim or demand (including costs of investigation, attorney fees or court costs) which they may suffer or which may be assessed against them by reason of an Authorized Individual guaranteeing/validating a signature at my request. I hereby authorize Voya Financial Advisors to charge my commission account or offset any other monies owed by Voya Financial Advisors to me for any damages incurred by Voya Financial Advisors in connection with its reliance on this Certification for Signature Guarantee/Validation, in addition to any other legal equitable remedies they may have. Certifying Party Signature Date Signature Guarantees will only be processed for VFA clients’ securities related transactions. This form cannot be used for Signature Guarantees on Outside Business Activities. Please Note: All Signature Guarantees are sent to the sponsor and not returned to the representative’s office. CERTIFYING PARTY INFORMATION OWNER INFORMATION TRANSACTION TYPE TRANSACTION AMOUNT (VFA will not provide a signature guarantee stamp for transactions over $5,000,000.00) ADDITIONAL INSTRUCTIONS CERTIFICATION AND SIGNATURE Joint Owner Name

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  • Page 1 of 1 Order #158351 05/26/2020

    certification for signature guarantee/VaLiDation

    *IFP-537-------*

    Voya Financial Advisors, Inc.Member SIPC699 Walnut Street, Ste. 1000Des Moines, IA 50309-3975 • 800-356-2906

    Account Number (if applicable) Related Work Item (if applicable)

    Name (Please print.) Office Location Rep Number

    Owner Name Joint Owner Name

    Distribution/Redemption Liquidation Change of Broker/Dealer Change of Registration Transfer/Journal Other

    $

    I hereby certify that:1. Check One.

    The client(s) have a customer relationship with Voya Financial Advisors and his/her/their signature(s) is/are known to me, and the attached document was signed in my presence.

    The client(s) have an existing account with Voya Financial Advisors and his/her/their signature(s) is/are known to me, I have previously met the client(s) in-person, and the attached document was signed in my presence over Zoom video conferencing technology.

    2. The client(s) has/have reached the age of majority in the jurisdiction in which the transaction will occur.3. The client(s) is/are legally competent and authorized to execute this transaction on the date of the request.

    I agree to indemnify and hold Voya Financial Advisors and any personnel authorized by Voya Financial Advisors to guarantee/validate signatures (Authorized Individual) harmless from any loss, liability, claim or demand (including costs of investigation, attorney fees or court costs) which they may suffer or which may be assessed against them by reason of an Authorized Individual guaranteeing/validating a signature at my request. I hereby authorize Voya Financial Advisors to charge my commission account or offset any other monies owed by Voya Financial Advisors to me for any damages incurred by Voya Financial Advisors in connection with its reliance on this Certification for Signature Guarantee/Validation, in addition to any other legal equitable remedies they may have.

    Certifying Party Signature Date

    Signature Guarantees will only be processed for VFA clients’ securities related transactions. This form cannot be used for Signature Guarantees on Outside Business Activities.

    Please Note: All Signature Guarantees are sent to the sponsor and not returned to the representative’s office.

    CERTIFYING PARTY INFORMATION

    OWNER INFORMATION

    TRANSACTION TYPE

    TRANSACTION AMOUNT (VFA will not provide a signature guarantee stamp for transactions over $5,000,000.00)

    ADDITIONAL INSTRUCTIONS

    CERTIFICATION AND SIGNATURE

    Joint Owner Name

    Reset: Office Location: IndividualName1: IndividualName2: TypeTransaction: OffType of Transaction Other Description: Transaction Amount: Rep1SignDate: RepCertCheck: OffIndividualName3: Rep1FullName: RepNumber: AccountNumber: RelatedWorkItem: AdditionalInstructions: