Cetera has a new form to enhance efficiencies in handling trade corrections. This new form, the Trade Correction Submission Form CET 965, is designed to ensure trade corrections are processed accurately and promptly, and is required as of April 1, 2025. Completed forms must be emailed to compliance@prosperityadvisors.com.
Please note that this new process will NOT affect 3rd party or rep managed advisory account when correcting a rebalance. These accounts will continue to follow the existing procedures to maintain consistency and reliability in their management.
Key Benefits of the new form:
- Simplified Process –The form has been designed to make it user-friendly and intuitive, reducing the time and effort required to submit trade corrections.
- Improved Accuracy – By providing clear and structured fields for required information, the form aims to minimize errors and ensure that all necessary details are provided upfront.
- Faster Processing – With a more organized submission process, our team will be able to review and process trade corrections more efficiently, leading to quicker resolutions for any discrepancies.
Note: Corrections requested after settlement date may take 2-5 days to process.
Please contact the Prosperity Network Compliance Team with any questions at:
compliance@prosperityadvisors.com or 913-529-5500 Option 2
Internal Use Only
Attachment:Form CET 965
Dianne Eggert, CFE
Compliance Manager