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Forms (All Forms are in PDF Format)

Frequently Used Forms

Asset Transfer (ACAT)

ACH Money Link

Margin Agreement

Option Agreement

Investment Acount Application
(Individual, Joint, Custodian, Trust, Corporation, Investment Club, Partnership, Sole Proprietorship)

IRA Application
(Traditional, Rollover, Roth, SEP, SIMPLE)

Non-IRA Account Opening Forms

Investment Account Application

Certificate of Trust

Certificate of Sole Officer

Certificate of Sole Proprietorship

Certificate of Partnership

Certificate of Non-Incorporated Association Resolution

Corporate Resolution

Limited Liability Company Resolution

Trading Authorization for Investment Club Accounts

Account Funding & Withdrawals

Asset Transfer Request (ACAT)

ACH Money Link

Certificate Request

Letter of Authorization for Wires

Letter of Authorization for Journals

Visa Check Card Application

IRA Forms

IRA Account Application

IRA Deposit Slip

IRA Designation of Beneficiary

IRA Distribution Request

IRA Rollover Certification

Coverdell ESA Application

5304-SIMPLE

5305-SIMPLE

5305-SEP

Other Forms

Associated Person Form

Account Closing Form

Affidavit of Domicile

Change of Address

Day Trading Agreement and Risk Disclosure

Pattern Day Trader Change of Strategy Form

Duplicate Statement for Interested Party Request

Limited Trade Authorization

Margin Agreement

Option Agreement

Statement Consolidation Householding Request

Stock Power Form

Transfer On Death Agreement

Trading Desk Activation Form

Website Account Householding Request

Worthless Security

W-8BEN

W-9

Disclosures & Statements

Breakpoint Disclosure Statement

Business Continuity Statement

Customer Identification Program Notice

Daytrading Agreement

Daytrading Risk Acknowledgement

DayTrade Disclosure

Margin Disclosure

Options Disclosure

Order Flow Payment Disclosure

SEC 606 Order Flow Disclosure

Penny Stock Risk Disclosure

Privacy Policy

SIPC Statement

Customer Complaint Disclosure

 

Member FINRA & SIPC | Washington DC
System response may vary due to a variety of factors, including trading volumes, market conditions, system performance, and other factors
Substantial risks are involved with electronic trading. Please read the statements, disclosures and notices linked below.
Options involve risk and are not suitable for all investors. Please review the Characteristics and Risks of Standardized Options.

Privacy Statement | Risk Disclosure Statement | SEC Rule 606 Disclosure | Penny Stock Disclosure | Investor Links
User Agreement | Margin Disclosure Statement | Extended Hours Trading | Business Continuity Plan