Info and Forms

Account Forms

• 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 submit this form 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. * A minimum account balance of $15,000 must be maintained in order to trade options. ** For the uncovered option call writer, a minimum account balance of $100,000 must be maintained.
• 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.
• Corporate Agreement If you would like to open a Corporate Account, you need to complete the Corporate Agreement.
• Limited Liability Company Authorization If you would like to open an LLC (Limited Liability Company) Account, you need to complete the LLC Resolution.
• Investment Club Account If you would like to open an 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 a Sole Ownership Account, you need to fill out, sign and return the Sole Ownership Letter.
• Foreign Entity Declaration Required for foreign corporate accounts.
• Beneficial Ownership Certification
• Certification of LLC
• Foreign Know Your Client Questionnaire

Transfer Forms

• ACAT Request Form (Axos) – ACAT Request Form (Curvature) 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.
• Letter of Indemnity To be used in conjunction with ACH Authorization form if applicable.
• Wire Transfer Form Request an outgoing wire transfer.
• Check Request Form Request a check by mail.

Misc. Forms

• 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.
• Address Update/Change