Documents & Forms
Corporate Accounts
- Institutional Account Application
- Institutional Suitability
- Beneficial Ownership Certification
- Account Application
- Account Application Supplemental
- Account Update
- Margin Agreement
- Certificate of Non-Incorporated Association Resolution
- Corporate Resolution
- LLC Resolution
- Option Agreement
- Options Disclosure – Characteristics & Risks of Standardized Options
- Trading Authorization
- Trusted Contact
Individual Accounts
Miscellaneous Forms
- Margin Agreement
- Certificate of Trust
- CCPA Visa Checkwriting Application
- Account Application Supplemental
- Option Agreement
- Options Disclosure – Characteristics & Risks of Standardized Options
- Penny Stock – Customer Suitability
- Penny Stock – Risk Disclosure
- Removal of Non Marketable Securities-RNMS
- Reasonable Letter of Explanation
- Trading Authorization
- Trusted Contact
- W-8BEN
- W-8BEN-E
Reference Guides
Retirement Accounts
- 5305 SEP IRA
- Account Update
- ADOP Coverdell ESA
- ADOP Inherited
- ADOP Inherited Roth
- ADOP IRA
- ADOP Roth
- ADOP SIMPLE
- Beneficiary Required Election
- Change of Beneficiary Form
- Coverdell Education Savings Account
- IRA Distribution Form
- IRA New Account Application
- IRA Rollover Certification
- Late Rollover Certification
- Option Agreement
- Options Disclosure – Characteristics & Risks of Standardized Options
- Trading Authorization
- Trusted Contact
Securities Deposits
- 144 Broker Rep Affiliate
- 144 Broker Rep Non-Affiliate
- 144 Sellers Rep Affiliate
- 144 Sellers Rep Non-Affiliate
- Broker Rep Letter – Shares Sold
- Client Acknowledgement of Certificate Deposit
- Client Acknowledgement of DWAC Deposits
- DSRQ
- Electronic Deposit Attestation for NMS Stock
- Irrevocable Stock or Bond Power
- Issuer Letter (Without Legend)
- Issuer Letter Refusal
