Forms and Applications
Listed below are the most common account forms needed to open an account with us. We also have provided additional forms you may need for different account options or transactions. If you cannot find the form your are looking for or need additional help please contact us.
*Certain account types can be setup using eSignup™ but require you to print, sign, and fax or mail to our offices. Such accounts will be noted.
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You will need acrobat reader to view and print forms. |
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Account Applications |
Individual Account
Single ownership on account. |
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Individual Account - Margin*
Single ownership on account; margin allows trader to leverage assets for increased buying power. |
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Joint Individual Account - Tenants in Common
Joint ownership on account; upon death, proportionate ownership of account returned to decedent’s estate. |
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Joint Individual Account - Tenants in Common - Margin*
Joint ownership on account; upon death, proportionate ownership of account returned to decedent’s estate; margin allows trader to leverage assets for increased buy power. |
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Joint Individual Account - Rights of Survivorship
Joint ownership on account; entire account transferred to survivor(s) upon death of any joint owner. |
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Joint Individual Account - Rights of Survivorship - Margin*
Joint ownership on account; entire account transferred to survivor(s) upon death of a joint owner; margin allows trader to leverage assets for increased buy power. |
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Corporate Account**
Account for an incorporated entity. |
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Corporate Account - Margin* **
Account for an incorporated entity; margin allows trader to leverage assets for increased buy power. |
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Partnership Account**
Account for a partnership entity. |
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Partnership Account - Margin* **
Account for a partnership entity; margin allows trader to leverage assets for increased buy power. |
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Sole-Proprietorship Account**
Account for a sole proprietorship. |
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IRA/Roth/Rollover Account
An individual tax deferred account. |
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Trust Account**
Setting up a trust account. |
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* Margin agreement must be printed, signed, and mailed or faxed to our offices.
** There may be additional forms you need to fill out and fax to our offices. |
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Additional Forms |
Worthless Security Removal*
Fill out and fax this form to us to have a worthless security removed from your account. |
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Limited Trading Authorization**
Needed if someone other than those listed on the account will trade for you. |
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W-8Ben**
Non-US residents certificate of beneficiary. |
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W-8Ben Instructions**
Instructions for filling out the W8Ben form. |
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W-9Ben**
Used for correcting invalid taxpayer information on an existing account. |
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W-9Ben Instructions**
Instructions for filling out the W9Ben form. |
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ACAT Transfer*
For transferring balances and positions. |
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Irrevocable Stock or Bond Power**
For depositing stock certificates into account. |
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Option Agreement*
Must be completed to trade Options. |
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Margin Agreement*
Must be completed to trade on Margin. |
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Trustee Certification of Investment Powers**
Must be completed if you wish to open a Trust Account. |
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Transfer on Death (TOD)**
Designation of Beneficiaries. |
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Sole Ownership Letter**
Must be completed to open a Sole-Ownership Account. |
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IRA Distribution**
For requesting a distribution from your IRA. |
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Letter of Authorization (LOA)**
For transferring funds or securities from one account to another that is under another individual. |
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LLC Authorization**
Must be completed to open an LLC Corporation account, Please download Corporate account paperwork as well. |
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Account Termination*
Please fill out and fax to us to close your trading account. |
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Account Information Update*
Use this to update any information on your
account. |
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Withdrawal Request*
Please use this form for any withdrawal requests, must be faxed back to us. |
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DTC Instructions **
Use this form for DTC. |
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* Forms can be faxed to our offices.
** Forms can be mailed to our offices.
Please CONTACT US for fax numbers and mailing address. |
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