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Personal Account Application

• 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 risks 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 only for you, you need to fill out this form. Please be aware that this form authorizes the agent to effect buy/sell transactions only.
• Full Trading Authorization
  To authorize agents to place trades and request funds for you, you need to fill out this form. Please be aware that this form authorizes the agent to effect buy/sell transactions and also request funds from the account.
• Joint Account Agreement - Tenants In Common
  If you would like to open the Joint Tenants in Common Account, you need to fill out, sign and return the Joint Account Agreement.

Professional Account Application

• 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.
• 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.
• 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.

Check Writing Application

• Check Writing - Money Market
  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

• 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

• ACAT Request Form
  If you need to transfer securities and/or funds from another institution, you need to submit this form to complete your application process. Please include a separate transfer form for each account you're transferring along with a copy of the most recent statements for each account.
• Journal Request - LOA
  Transfer between two accounts held at the same clearing firm only.
• ACH Authorization
  Automatic electronic transfer to and from client bank accounts.

Portfolio Margin Accounts

• 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

• 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.

Auto Trading Service Documents

• Stock Trading Advisory Service Authorization - Required for auto trading
• Trading Authorization for Advisory - Required for auto trading
• Additional Advisory Risk Disclosure - Required for auto trading
• Update Your Auto Trading Account*
  *Only used for making changes to an existing auto trading account.

Tax Forms

• W8-BEN *
  Foreign Account holders must complete and sign a W-8 form to be exempt from U.S. taxes. *Also you must send a copy of your passport.

Miscellaneous Forms

• DSR Questionnaire  Required when depositing OTC-BB, Pink Sheet or unregistered physical stock certificates or DWACs.
• 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.
• Stock Power
• Trustee Certification
  If you would like to open the Trust Account, you need to fill out and sign this form.
• Customer Sub-Account Agreement
• Change of Rep Form