Additional Forms

 

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Personal Account Application
Form and Description
Pattern Day Trader Change of Strategy Form
If you would no longer like to be coded as a pattern day trader, but still want to conduct occasional day trades, please fill out this form
Option Agreement
To qualify for trading options, you must first read, complete, sign and return the Option Agreement.
Required: Options involve specific risks and complexities, and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of Characteristics and Risks of Standardized Options.  Uncovered options carry special risk and uncovered option writers must also read the Statement for Uncovered Option Writers. Copies of this document are available by calling your broker. You may also request a copy of the printed booklet delivered by U.S. postal mail.
Limited Trading Authorization
To authorize agents to place trades for you, you need to fill out this form. Please be aware that this form authorizes the agent to effect buy/sell transactions only.
Joint Account Agreement - Tenants In Common
If you would like to open the Joint Tenants in Common Account, you need to fill out, sign sign and return the Joint Account Agreement.
Auto Trading Application Forms
Form and Description
Stock Trading Advisory Service Authorization
Trading Authorization for Advisory  
Additional Advisory Risk Disclosure
Update Your Auto Trading Account

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.
Investment Club Account
If you would like to open a Investment Club Account, you need to fill out, sign and return the Investment Club Agreement.
Partnership Account Agreement
If you would like to open a Partnership Account, you need to fill out, sign and return the Partnership Account 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.
Limited Liability Company Authorization
If you would like to open the LLC (Limited Liability Company) Account, you need to complete the LLC Resolution.
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.

Money Market Account Application
Form and Description
Money Market Application - Check Writing
If you would like to open Money Market Fund account for the check writing or debit card privileges, you need to submit this form to complete your application process.

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..

IRA Forms
Form and Description
Roth IRA Application
Complete and return page 1 only of this application to us to open a Roth IRA.
Roth IRA Financial Disclosure
Informational only disclosure for clients opening a Roth IRA account.
Regular IRA Application
Complete and return page 1 only of this application to us to open a Regular IRA.
Regular IRA Financial Disclosure
Informational only disclosure for clients opening an IRA account.

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. And attach a copy of passport pages with signature.

Miscellaneous Forms
Form and Description
Stock Power
Trustee Certification
If you would like to open the Trust Account, you need to fill out and sign this form.
Portfolio Management Account PMA Disclosure
Change of Rep Form
Presence Test Required along with copy of Visa for foreign citizens living in the U.S.