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Professional Account Application

Form and Description

Corporate Agreement
To deposit any shares of stocks, bonds, debentures and other securities registered in the name of the company or held or owned by the corporate.

Limited Liability Company Authorization
If you would like to open the LLC (Limited Liability Company) Account, you need to complete the LLC Resolution.

Partnership or Investment Club Account
If you would like to open a Partnership or Investment Club Account, you need to fill out, sign and return the Investment Club Agreement.

Sole Ownership Affidavit
If you would like to open the Sole Ownership Account, you need to fill out, sign and return the Sole Ownership Letter.

Certification Regarding Foreign Banks
If you would like to open an account for a foreign bank, you need this form.

Foreign Entity Declaration
Required for foreign corporate accounts.

Know Your Client Questionnaire
Required for all officers, owners, or other individuals associated with a foreign corporate account.

Futures Account Application

Form and Description

Futures Account Application
If you would like to open a futures trading account you need to submit this form to complete your application process.

Transfer Forms

Form and Description

ACAT Request Form
If you need to do an account transfer of securities and/or funds from another institution, you need to submit this form. Please include a separate account transfer form for each account you're transferring along with a copy of the most recent statements for each account.

Journal Request - LOA
Letter of Authorization, journal transfer between two accounts held at the same clearing firm.

ACH Authorization
Automatic electronic transfer to and from client bank accounts.

Portfolio Margin Accounts

Form and Description

Portfolio Margin Account Form 
Portfolio Margining new account application

Portfolio Margin Test 
Required test that must be completed when opening a Portfolio Margin Account

IRA Forms

Form and Description

Roth IRA Application
Complete and return page 1 only of this application to us to open a Roth IRA.

Regular IRA Application
Complete and return page 1 only of this application to us to open a Regular IRA.

Tax Forms

Form and Description

W8-BEN
Foreign Account holders must complete and sign a W-8 form to be exempt from U.S. taxes. (You can open with a copy, but we must receive the original signed W8-BEN before you begin trading.)
* It is recommended that you sign the W8-BEN in blue ink.
* You must also send a copy of your passport.

W9
U.S. Corporate, LLC and Partnership accounts may be required to complete this tax document for tax payer identification.

Miscellaneous Forms

Form and Description

DSR Questionnaire 
Required when depositing OTC-BB, Pink Sheet or unregistered physical stock certificates or DWACs.

DSR - How to 
Explanation document on how to complete the DSR Questionnaire

Stock Power

Corporate Resolution over 1 million 
Required when depositing a certificate over 1 million shares. Completed by issuing company.

Corporate Resolution 1 Signer 
Required when depositing a certificate signed by only 1 officer of the issuer. Completed by issuing company.

Trustee Certification
If you would like to open the Trust Account, you need to fill out and sign this form.

Multiple User Agreement
 Required when requesting multiple software users or sub accounts