Complete all sections of the Brokerage Option. Application. We receive payments for our brokerage services through three main sources: clients, third-party funds and service providers, and our parent company, VGI.Upon receiving the form, the. SEC will assign You a unique ID number. If you are transferring assets from another financial institution, complete a 403(b)(7) Account. Use this form to: • Establish or update a 403(b)(7) plan. Buy, exchange, and sell Vanguard mutual funds. 2. The text of this book is based on historical materials held in the Herbert. Hoover Presidential Library at West Branch, Iowa. Below is a list of frequently requested Human services forms.