Account Documents
For your convenience, below are the most commonly used account documents. Please consult with your account executive as to which forms you are required to complete.
It is important for clients to discuss any account issues to your financial advisor to ensure financial goals and objectives are met. Prior to investing in options or establishing a margin account, please read the appropriate disclosures to understand the risks associated with options and margins.
Please select the appropriate document. Then, complete, sign your name (or both names for Joint Accounts), and either email or fax the document to your financial advisor at our office, for review and processing. Facsimile signatures are acceptable to open your account. New account documents with your original signature(s) must be mailed to our office at 30 Broad Street 24th Floor New York, NY.
Available Forms
• New Account Form
• Margin Agreement
• Option Agreement
• Joint Account Agreement
• Confirmation of Corporate Source of Account
• Corporate Resolution
• Certificate of Investment Powers (CIP)
• Limited Trading Agreement
• Account Transfer Form
• Stock Power Form
• W-8BEN
• W-9 Form
Disclosures
• Day Trading Disclosure Statement
• Designated Security-Penny Stock Letter
• Intent to Maintain an Active Account
• Option Disclosure
• Margin Disclosure