Info and Forms

Account Applications

• Individual/Joint
• Individual (Foreign)
  Foreign Clients must complete a W8-BEN & Know Your Client Questionnaire form and send a copy of a valid government issued photo ID and proof of address in the form of a bank or brokerage statement or a utility bill.
• Trust

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.
• Margin Account Agreement and Disclosure 
• 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

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.
• Letter of Indemnity
  To be used in conjunction with ACH Authorization form if applicable.
• Wire Transfer Form
  Request an outgoing wire transfer.

Tax Forms

• W8-BEN *
  W8-IMY
  W8-BEN-E
  Foreign Account holders must complete and sign a W-8 form to be exempt from U.S. taxes. Your account may be opened with a copy, however an original signature W8 must be received before you can begin trading.
  * It is recommended that you sign the W8-BEN in blue ink.
  * You must also send a copy of your passport.
• W-9
  Certification of Taxpayer Identification Number

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.