Traditional Brokerage Services
Forms & Agreements
To open an account with us, please download the following forms, complete them and return them to our home office at the address listed. Please note, you must have Adobe Reader to view and print these PDF files. Adobe Reader can be downloaded free from Adobe by clicking here.
Minimally, you must complete and sign the AGREEMENT form for accounts listed in one name only. For those accounts that are joint, as in husband and wife or in where two people who are partners in common, please add the JOINT agreement. IRA accounts additionally need the IRA agreement. IRA account cannot be margin accounts. Please see our IRA form for further explanation.
- Account Application
- Joint Agreement
- IRA Agreement
- Roth IRA Agreement
- Transfer Form
- Charitable Gifts Request
IMPORTANT NOTICE
USA Patriot Act - Section 326 Customer Identification Requirements
In an effort to curb money laundering and terrorist financing, the Patriot Act was passed on October 23, 2001 and is being implemented in phases. On October 1, 2003, financial institutions must be in compliance with Section 326 of the Act. Section 326 establishes minimum procedures for identification verification for all new accounts. Financial instituions are also required to compare customer information with denied party lists (containing known terrorists) provided by the US Treasury, US Commerce, and United Nations. These lists contain an estimated 9000 names.
As of October 1, 2003 all new accounts must include:
Name
Street Address (PO Box not permissible)
Tax ID or Social Security number
Birth Date for each person listed on the account
All new account holders' identities will be verified and checked against the denied party list. New investors who fail to provide the information listed above will need to adjust their applications immediately or face account closure or trading restrictions until they do so.
Thank you for your cooperation.