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 risks and uncovered option writers must also read the Statement for Uncovered Option Writers. Copies of this document are available from our firm by calling 1(800)874-3039. 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 sign and return the Joint Account Agreement.

Auto Trading Advisor Account Documents.

Form and Description

Stock Trading Advisory Service Authorization

Trading Authorization for Advisory

Additional Advisory Risk Disclosure

Update Your Auto Trading Account Only used for making changes an existing 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.

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 visa 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.

Futures Risk Disclosure Statement Required risk disclosure statement for futures accounts.

Addendum to Customer Account Agreement Required additional agreement for futures accounts.

Customer Agreement Required customer agreement for futures accounts.

Subordination Agreement Required subordination agreement for futures accounts.

	Corporate Accounts Only: Corporate Entity Questionnaire Required for corporate futures accounts.
	Foreign Residents Only: Foreign Disclosure Statement Required risk disclosure statement For Foreign (Non-US) Accounts for futures accounts.

Transfer Forms

Form and Description

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.

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. *You can fax W8, but original signature W8 must be mailed within 1 month.

DVP & Prime Brokerage

Form and Description

DVP New Account Approval Required New Account approval form for DVP accounts

DVP/Prime Brokerage Executing Broker Agmnt. For DVP/Prime brokerage accounts in order to act as an executing broker.

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

Customer Sub-Account Agreement

Change of Rep Form

Presence Test Required along with copy of Visa for foreign citizens living in the U.S.