Client Forms and Applications

• Account Application
• Account Supplement Form
• Account Transfer Form
• Account Update Form
• Alternative Investment Agreement
• Certificate for Investment Club
• Certificate for LLC
• Certificate for Unincorporated Association
• Certificate of Corporation
• Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding (W-8BEN)
• Certificate of Partnership
• Certificate of Sole Proprietorship
• Certificate of Trust
• Check/Visa Application
• Client Acknowledgement Certificate Deposits
• Client Acknowledgement DWAC Deposits
• Customer Agreement
• Form 144
• Form 144 Brokers Rep – Affiliate (PDF)
• Form 144 Brokers Rep – Non Affiliate (PDF)
• Form 144 Sellers Rep – Non Affiliate (PDF)
• Form 144 Sellers Rep – Affiliate (PDF)
• Institutional New Account Application
• Institutional Suitablilty Certificate
• Interested Party Authorization Form
• Intermediary Foreign Financial Institution FAQ
• Irrevocable Stock or Bond Power
• ISSUER LETTERHEAD
• LOA for Internal Transfer
• LOA for 3rd Party Distributions
• Margin Account Agreement
• MoneyLink Electronic Transfer Form
• Notice of Exercise of Stock Options
• Option Agreement Form
• Option Exercise/Contrary Instructions Request Form
• Prospect Agent Letter
• Shareholder Disclosure To Issuers
• SIA 151 Prime Brokerage Agreement
• Statement Consolidation Householding
• Stock Cert Processing
• Third Party Waiver
• TOD Form
• Trade Correction
• Trading Authorization – Limited or Full
• TRANSFER AGENT’S STATEMENT OF WARRANTY – FOR CERTIFICATED SECURITIES
• Transfer Agent’s Warranty Refusal
• Waive Security Claim – Form A “As A Journal”
• Web Site Account Householding

Update on 04/11/2017