Use this form to provide us with client signature(s) of our Customer Agreement after a new account has been opened, only where your client will not be electronically signing online.
Use this form to gather account opening information for a client to input later into our online account opening process.
Use this form to provide additional required information when opening a new legal entity account, including but not limited to all Beneficial Owners and Control Persons associated with that legal entity, complete ownership structure, proof of legal entity existence, entity classification, expected activity and political exposure. Legal Entity accounts are for a legal entity, such as a corporation, partnership, general partnership, limited partnership, limited liability company, or other entity created by a filing with a secretary of state or similar office. New legal entity accounts will be restricted from all activities until we obtain and verify this information, and will be closed if we cannot obtain and verify this information.
Use this form when you are opening a new account for a client, or updating client settings if the client, their spouse, or any other immediate family members, including parents, in-laws, and siblings that are dependents, employed by or associated with the securities industry (for example, investment advisor, sole proprietor, partner, officer, director, branch manager or broker at a broker-dealer firm or municipal securities dealer) or a financial regulatory agency, such as FINRA or the New York Stock Exchange, and this entity requires that the client obtain its approval to open this account.
Use this form to convert a new IRA to an inherited IRA. To open an inherited IRA, first open an IRA Rollover or Roth IRA account online and then submit this form.
Use this form to enable margin borrowing on your brokerage account only in instances where you cannot perform this process on our website.
Use this form to complete the account opeing process for new Qualified Retirement Plans (QRP) such as 401(k) Plans, after you have completed the online portion of the account setup.
Account holders use this form to complete the SIMPLE IRA (type 5304) account opening process.
Employers use this form to complete the SIMPLE IRA (type 5304) account opening process.
Use this form to provide required signatures from each trustee for a trust account.
Use this form to transfer assets held at another financial institution to us only in instances where you cannot perform this process on our website.
Use this form for account transfers where the firm sending assets to us will not accept an electronic signature on the transfer request. We will provide the physical client signature on this form to the transferring firm so that they will process the transfer to us, the receiving firm.
Use this form to add a firm, such as a bank, brokerage or mutual fund company, to the list of firms on our site for online account transfers. You can also use this form to request edits to an existing firm's details and to add a clearing relationship to an existing firm.
Use this form to create new advisory fee schedules or alter those currently existing for your firm.
Use this form for manual advisor billing upload requests. Requests without this form will not be processed.
Use this form to transfer cash and/or securities between existing accounts held by us only in instances where you cannot perform this process on our website.
Use this form to send a check to pay the annual Retirement Account Fee, instead of paying it from funds in the retirement account.
Use this form to request distributions from your IRA account only in instances where you cannot perform this process on our website.
Use this form to accompany a rollover distribution from your current traditional IRA, Roth IRA or eligible Qualified Retirement Plan that you are depositing into an IRA held us, when you have received a physical check.
Use this form to setup model manager billing configurations. Requests without this form will not be processed.
Clients may use this form to designate individuals with full authority to conduct activities on their accounts, only in instances where this cannot be performed on our website.
Use this form to change the authorized representative on a business trust or to add a trustee on a revocable trust account if there are no living trustees listed on the account with us.
Use this form to update the name on an account that is associated with a Taxpayer Identification Number (TIN) after a marriage or divorce, or to request a correction to the TIN on an account.
This Agreement sets forth the basic relationship between us and each client, including the custodial terms of an Individual Retirement Account (IRA), a Roth Individual Retirement Account (Roth IRA) and SIMPLE Individual Retirement Account (type 5304). Clients sign this agreement when they first open an account, an IRA, Roth IRA or SIMPLE IRA and agree to the current version of this document each time they log into their account online.