2 Provide account holder information (Please attach necessary documents.)
|
|
- Ruby Bridges
- 8 years ago
- Views:
Transcription
1 Brokerage Account 1 Specify type of account ownership (Please attach necessary documents.) ( Minimum opening balance of $1,000 in cash and/or securities is required.) Select the type of account ownership: (Please check one box.) Individual/sole proprietor account Questions? For Prudential use only: Call Prudential Retirement Office F at (fax: ) Limited liability company. Enter the tax classification (C=C Corporation, S=S Corporation, P=Partnership) Investment Club Complete investment club authorization. Joint account Tenants with right of survivorship Joint account Tenants in common (In the event of the death of either or any of the undersigned, the interest in the tenancy shall be equal unless otherwise specified.) Custodial account List only one custodian for the benefit of one minor. (See Section 2) Trust Include Trustee Certification of Investment Powers form. C Corporation Include corporate resolution. S Corporation Include corporate resolution. Partnership Complete partnership authorization. Estate Include estate papers. Association or non-corporate organization Provide resolution. Other Are you a Prudential Financial employee? Yes No Do you have an existing account with Prudential Investment Management Services LLC? Yes No Please notify us if you have multiple accounts that should be linked for qualification of reduced sales charges on front-end loaded mutual funds (please refer to the fund s prospectus for this qualification). Without this information we cannot identify and link related accounts held outside and, in some cases, held within Prudential Investment Management Services LLC. The investor may not realize the full breakpoint opportunity available without this information. Account number(s) 2 Provide account holder information (Please attach necessary documents.) Individual or joint account holder s information: Account holder name Social Security no. of birth Home phone no. Drivers license no. State Issue date Expiration date Or Passport no. Country Expiration date Mailing Legal (If mailing is a P.O. Box, you must provide a legal street.) U.S. citizen Yes No Other Non-resident alien? (If yes, W-8 form is required.) Yes No Marital status: Single Married Widowed Divorced Number of dependents Joint account holder s information: (If applicable.) Account holder name Social Security no. of birth Home phone no. Drivers license no. State Issue date Expiration date Or Passport no. Country Expiration date 1
2 Provide account holder information (Continued) Mailing Legal (If mailing is a P.O. Box, you must provide a legal street.) U.S. citizen Yes No Other Non-resident alien? (If yes, W-8 form is required.) Yes No Marital status: Single Married Widowed Divorced Number of dependents Custodial account: Name of minor if custodial account Minor s Social Security no. Custodian s Social Security no. of birth of minor Custodian name Provide additional information (Must be completed to open an account.) Individual or joint account holder s information: Employed by Business street (PO Box not allowed) Occupation Business phone no. (Required) If self-employed, what is the nature of your business? If not employed, are you retired, a student, etc.? Joint account holder s information: (If applicable.) Employed by Business street (PO Box not allowed) Occupation Business phone no. (Required) If self-employed, what is the nature of your business? If not employed, are you retired, a student, etc.? Affiliation disclosure: (please complete the section below) Is any account holder affiliated with or employed by a member firm of a stock exchange or FINRA; a senior officer of a bank, S&L, insurance company, registered investment company, or registered investment advisory firm; or in the securities department of any of the above or an immediate family member of any such person? Yes No If yes, list company name and position. Is any account holder or anyone with an interest in the account a director, a 10% shareholder, or a policy-making executive officer of a publicly traded company? Yes No If yes, list company. 2
3 3 Client profile information This portion of the application must be fully completed. Industry regulation requires us to obtain certain information to verify identification and to determine suitability of this account. Incomplete information will prevent this application from being considered in good order and will delay opening your account. Prudential Financial cannot be held responsible for any delays in opening your account if information on this application is incomplete. Income Net worth Check one box. See definitions below if you have any questions. Ranges Annual income (all sources) Check one box in each column. See definitions below if you have any questions. Ranges Net worth (assets minus liabilities) Liquid net worth (exclude non-liquid assets) $0 24,999 c $0 49,999 c c $25,000 49,999 c $50,000 99,999 c c $50,000 99,999 c $100, ,999 c c $100,000 + c $500,000 + c c Owner s tax bracket: % (Approximate federal income tax bracket, based on previous year s tax return.) Definitions Annual income (all sources): Annual gross income, before any deductions for income taxes or qualified plan contributions, etc. Net worth (assets minus liabilities): Your assets minus liabilities; include all investments and all liabilities. The value of everything you own less everything you owe. Liquid net worth: Your assets that can be converted easily to cash without incurring a penalty or loss of principal. This includes cash, savings accounts or cash equivalents such as the cash value of a life insurance policy. Investment objectives Please rank your investment objectives in order as they relate to the assets in your brokerage account from 1 (most important) to 5 (least important). c Preservation of capital c Income c Capital appreciation c Speculation c Trading profits Investor style Please select ONE description that best represents your investment approach to this account. c Conservative Prefer little risk and low volatility in return for accepting potential lower returns. Minimizing exposure of principal to loss or fluctuation is very important. c Moderate Willing to assume an average amount of market risk and volatility or loss of principal to achieve higher returns. c Aggressive Willing to sustain volatility or loss of principal and assume a high level of risk in pursuing higher returns. Investment experience Please indicate your years of experience with the following investment types (if no experience, please enter zero). c Equities c Options c Bonds c Variable contracts c Mutual funds c Limited partnerships 3
4 Client profile information (Continued) Years to retirement: Please indicate the number of years until you need access to the assets in this brokerage account. 0 5 years 6 10 years years 16+ years Source of funds for this account: Please indicate the source of funds for this brokerage account below. Check all that apply. If any of the following options are selected, with the exception of Other, an Investment switch form must be completed, signed, and returned with this application. If Other is selected, please contact Prudential Retirement to determine if a switch form needs to be returned with this application. Please note: Your non-retirement account will not be established until Prudential Investment Management Services LLC ( PIMS ) has received your non-retirement application (Brokerage account application) and determined that it is complete and in good order (in some cases, this may require a Prudential representative to collect more information from you). Mutual funds (includes no-load funds) Unit investment trust Variable annuity Fixed annuity 529 Plan Life insurance cash value Life insurance death benefits Other 4 Select cash management option To add check writing and a VISA Gold check card to this brokerage account, please fill out the additional customer information below, and make sure the information in Section 2 of this application is as you would like it to appear on your checks and VISA Gold check card(s). (Minimum balance of $5,000 in cash and/or securities and a margin account agreement are required. Your account will be charged $5 per month.) Checking and VISA Gold check card information: Would you like your phone number included on your checks? Yes No Please select the check style you prefer: Personal Corporate I (We) hereby apply for check writing and VISA Gold check card privileges. I understand that checks and charges on my VISA Gold check card(s) will be drawn on assets held in my brokerage account to the extent necessary to cover such checks and VISA Gold check card charges. Please indicate the number of VISA Gold Check Cards requested: Applicant Joint applicant Please choose one of the following Fidelity money market funds. (Please read the fund s prospectus carefully before you invest.) Prime fund Tax-exempt fund Previous Mother s maiden name (Other than PO Box and if less than 3 years at current.) Joint applicant s information: (If applicable.) Previous Mother s maiden name (Other than PO Box and if less than 3 years at current.) 4
5 5 Provide investment instructions Important note: Accounts with balances below $1,000 may be closed at our discretion. To allocate portions of your assets to specific mutual funds, use the spaces below to specify the funds, and the percentage or dollar amount (if applicable) of your assets you would like to invest. For the names of no-load, no-transaction-fee funds, contact Prudential Retirement at Please note: Once you accumulate enough cash to meet your chosen funds minimum purchase requirements, please call us at so that we may invest in the fund(s) you have selected. Until that time, if you have chosen the Cash Management feature, your assets will be invested in the Fidelity money market fund you selected in Section 4 (i.e., Prime fund or Tax-exempt fund). Please read the fund s prospectus before investing. If you did not choose the Cash Management feature, your assets will be invested in the Money account. Option 1: If you are enclosing a check for the full amount of your initial contribution, please use the spaces below to list your mutual fund choices and allocation percentages for each fund. Please Note: If you are sending a lump sum, attach a check made payable to Prudential Retirement. Name of fund Symbol Percent Name of fund Symbol Percent % % % % % % % % 6 Option 2: If you would like to purchase securities other than mutual funds (e.g., stocks, bonds, CDs, etc.) or if you would like to discuss your investment choices with one of our Retirement Counselor(s), please check this box. Your assets will be invested in the Money account and a Retirement Counselor(s) will call you when your account has been opened to discuss the securities you would like to purchase. Please note that we will contact you at the phone number provided in Section 2. Our ability to contact you will determine the timing of your order to purchase securities. Specify service instructions 1) Settlement instructions: (When you sell a security, please choose how you would like the proceeds distributed.) Deposit the proceeds into my account and invest them in the Money account. Please send me a check. 2) Cash dividends/interest: (If your securities generate returns in the form of dividends or interest, please choose how you would like these proceeds distributed.) Deposit the dividends or interest into my account and invest them in the Money account. Please reinvest my dividends if reinvestment is available. Check here if you do not want your name,, and securities positions disclosed to any of the companies in which you own securities that are being held in this account. Please note: If you have chosen the Cash Management feature, any proceeds, dividends or interest will be invested in the Fidelity money market fund you selected in Section 4 (i.e., Prime Fund or Tax-Exempt Fund). Please read the fund s prospectus before investing. If you did not choose the Cash Management feature, your assets will be invested in the Money account. 3) Duplicate confirmations (optional): Send duplicate confirmations to: Street 5
6 7 Sign and date this form I hereby apply for a securities account ( Securities account ) under the terms and conditions set forth in the Customer Agreement (the Agreement ) and agree to be bound thereby. I am authorized to enter into the Agreement and have obtained and will provide you with all necessary authorizations from third parties to open accounts and effect securities transactions under the Agreement. I will be the owner of all securities purchased, held, and sold by me through you, or will otherwise have the authority to purchase, hold, or sell such securities. I understand that you entered into an agreement with National Financial Services LLC (NFS) to execute and clear securities transactions in my Securities account. I further understand and agree that NFS will carry and maintain my Securities account, except as may otherwise be provided in the Agreement. I understand and agree that, for our mutual protection, you and NFS may record any of our telephone conversations without further notice. I also understand that all transactions shall be subject to rules, regulations, customs, and usages of the exchange, market, or clearinghouse where executed, and to all applicable federal and state laws and regulations. I will not buy, sell, or liquidate any securities of a corporation of which I am an affiliate, or sell or liquidate any restricted securities, except in compliance with applicable laws and regulations and with notice, to you, that the securities are restricted. I have reviewed the information contained on this application and attest to the accuracy thereof. Under penalties of perjury, I certify that: (1) The number shown on this form is my correct Taxpayer Identification Number (or I am waiting for a number to be issued to me), and (2) I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and (3) I am a U.S. citizen or other U.S. person As an applicant for the Cash Management option, I certify that: (Check all boxes below.) (1) I understand that I am applying for a Margin account, which involves the extension of credit. (2) I (We) have read, understand and agree with the NFS and Cash Management provisions as set forth in the Customer agreement. My (Our) signature(s) will serve as checking account verification, and I (we) understand that only one signature is required on checks. (3) I (We) hereby acknowledge that I (we) have read, understand and agree to the terms and conditions set forth in the enclosed Customer agreement/margin agreement. I understand that available free credit balances in my account will be automatically invested or deposited in a Money account. This Money account may be a money market mutual fund, an FDIC-insured bank deposit or such other arrangement as you may establish from time-to-time. I agree that you may, at your discretion, change the Money account by providing me with advance written notice of such change. In the event that you elect to change the Money account, I authorize you to redeem or withdraw any funds held in the prior Money account and reinvest them into the new Money account. I understand that Brokerage investments are not insured by the FDIC, are not deposits or other obligations, unless stated otherwise, of any bank, and are subject to investment risks including possible loss of principal invested. The securities in your account are protected in accordance with the Securities Investor Protection Corporation (SIPC). For more details on SIPC, or to request a SIPC brochure, visit or call To help the U.S. government fight the funding of terrorism and money-laundering activities, Federal law requires that Prudential Retirement obtain, verify, and record information that identifies each person who opens an account. What does this mean for you? When you open an account, we will ask for your name,, date of birth and other information that will allow us to verify your identity. I understand that the Customer Agreement contains a pre-dispute arbitration clause (section 15, beginning on page 2) requiring all disputes under the Agreement to be settled by binding arbitration. By signing below, I acknowledge receiving a copy of the Customer Agreement and agree to be bound by its terms and conditions. The Internal Revenue Service does not require your consent to any provision of the document other than the certifications required to avoid backup withholding. Account holder s signature Print account holder s name Joint account holder s signature Print joint account holder s name 6
7 For Prudential use only Registered representative s signature Print registered representative s name Signature of supervisory principal Print name of supervisory principal F73 Office Reg. rep. no. Account no. account opened 7
8 Return standard mail to: Prudential Retirement Return Overnight mail to: } } } 30 Scranton Office Park Prudential Retirement PO Box 5320 Scranton, PA Scranton, PA Fax To: Securities products are not FDIC insured/not bank deposits/may lose value Accounts are carried by National Financial Services LLC, Member NYSE/SIPC. Securities products and services are offered by Prudential Investment Management Services LLC (PIMS), Three Gateway Center, 14th Floor, Newark, NJ , a Prudential Financial company. Retirement Counselors are registered representatives of PIMS. Prudential, the Prudential logo, and the Rock symbol are service marks of Prudential Financial, Inc. and its related entities, registered in many jurisdictions worldwide. 30 Scranton Office Park Scranton, PA RSFM014 Printed 04/2012
Please complete and sign this Application, along with any required supplemental forms identified through this application process.
Brokerage ABZ 153 Securities Way, Suite 1001 Richmond, VA 00150 15.31.5543 www.brokerageabz.com About this Application This is a Retail Brokerage Account Application. Please read it carefully, as you will
More informationInvestment Account Application and Client Agreement
FOR INTERNAL USE ONLY ACCOUNT NUMBER: ACCOUNT TITLE: REVISED: SEPTEMBER 2014 PLEASE COMPLETE, SIGN AND RETURN THIS APPLICATION TO YOUR ADVISOR, WHO WILL INFORM YOU OF ANY FURTHER REQUIREMENTS. I. Account
More informationPlease complete and sign this Application, along with any required supplemental forms identified through this application process.
About this Application This is a Brokerage Account Application. Please read it carefully, as you will select products and services, tell us how you want to communicate with us, and agree to certain provisions
More informationAmeriprise Brokerage Non-Qualified Account Application For Internal Use Only Account Number
DOC0105402192 Ameriprise Financial Services, Inc. 70100 Ameriprise Financial Center Minneapolis, MN 55474 Ameriprise Brokerage Non-Qualified Account Application Part 1 Account Owner Details Account Owner
More informationRoth IRA Account Application (10/05/2015)
For Office Use Only: Acct.# Office: Reg. Rep: Name for Filing: Hilltop Securities Inc. and/or Broker/Dealers for which it Clears Hilltop Securities Inc. - Member: NYSE/ FINRA/ SIPC New Account Account
More informationSCHOLARSHARE COLLEGE SAVINGS PLAN (529 PLAN) ACCOUNT APPLICATION
SCHOLARSHARE COLLEGE SAVINGS PLAN (529 PLAN) ACCOUNT APPLICATION Please complete this application to establish a 529 Plan account with Fidelity Investments. One application must be submitted for each account
More informationBank. Account Number. Employer. Business Address. E-Mail Address. Liquid Net Worth
DOC0105 Ameriprise Financial Services, Inc. 70100 Ameriprise Financial Center Minneapolis, MN 55474 Ameriprise Brokerage Individual Retirement Account (IRA) Application Part 1 Account Owner Details Account
More informationFIDELITY ROLLOVER IRA APPLICATION
FIDELITY ROLLOVER IRA APPLICATION To complete this application, fill in all relevant sections, sign in ink, and return the application to Fidelity at: Fidelity Management Trust Company, Corporate Rollover
More informationAbout this Client Information Form
About this Client Information Form This is a Family Investors Company Client Information Form. Please read it carefully, as you will select products and services, tell us how you want to communicate with
More informationLLC, DO NOT USE THESE FORMS.
Opening an Investment Club account is easy. Simply complete and fax (866-699-0563) or mail us this form. Then, if you have not done so already, create a Username and a Password at www.tradeking.com to
More information*TDA1086* Business Account Application
Business Account Application PO Box 2760 Omaha, NE 68103-2760 Fax: 866-468-6268 Questions? Call a New Accounts representative at 800-276-8746. Please visit us at www.tdameritrade.com for more information
More informationPlease complete and sign this Application, along with any required supplemental forms identified through this application process.
Retail Brokerage Account Application About this Application This is a. Please read it carefully, as you will select products and services, tell us how you want to communicate with us, and agree to certain
More informationAfter reading the information in this Welcome Guide, please follow the instructions below to open your SDB account.
BB&T Dear Plan Participant: Thank you for your interest in opening a Self-Directed Brokerage (SDB) account. On the following pages, you will find the two forms you will need to open your account. You will
More informationIndividual Retirement Account (IRA) Application
PO Box 2237 Omaha, NE 68103-2237 Fax: 816-243-3765 ACCOUNT NUMBER Office Code Rep Code 1 Individual Retirement Account (IRA) Application Type of Account Please select only one. I want to establish a: A
More informationBROKERAGE ACCOUNT APPLICATION
BROKERAGE ACCOUNT APPLICATION Sub Branch Account Number RR Number About the Application This is a Brokerage Account Application. Please read it carefully. You will select products and services, tell us
More informationHow To Get A Td Ameritrade Account
LLC, Investment Club, or Partnership Account Application PO Box 2760 Omaha, NE 68103-2760 Fax: 866-468-6268 Questions? Call a New Accounts representative at 800-276-8746. Please visit us at www.tdameritrade.com
More informationInvestment Advisor Firm (Agent) and Primary Contact: Firm Name: Primary Contact:
INVESTMENT ADVISOR Beneficiary IRA Account Application Account # Advisor # Case # Investment Advisor Firm (Agent) and Primary Contact: Firm Name: Primary Contact: 1 2 DECEDENT S RETIREMENT ACCOUNT INFORMATION
More informationSchwab One Account Application for Personal and Trust Accounts
Investment Advisor ( IA ) Information (This portion to be completed by IA.) IA Firm Name (please print): IA Master Account Number: Service Team: Advisor Contact Information (if follow-up is required):
More informationTransfer of Ownership Request
Transfer of Ownership Request Use this form to transfer ownership of shares from an existing Thrivent Mutual Fund account to a new owner within the same Thrivent Mutual Fund. Complete the Transfer of Ownership
More informationBrokerage Account Application (Non-IRA)
Brokerage Account Application (Non-IRA) One Beacon Street Boston, MA 02108-3102 (800) 822-2021 brownco.com For BrownCo Use Only: Account Number Instructions: Please complete in full and print clearly in
More informationCOMPLETE INVESTMENT ACCOUNT APPLICATION
COMPLETE INVESTMENT ACCOUNT APPLICATION COMPLETE YOUR E*TRADE APPLICATION IN THREE EASY STEPS The Complete Investment Account Application you requested begins on the following page. To complete your application,
More informationNEW CLIENT FORM. 1. Client Investment Ownership. 2. Client Information
NEW CLIENT FORM The completion of this New Client Form by the client does not constitute the opening of an investment with Democracy Funding. This form is for the express purpose meeting the requirements
More informationROTH IRA APPLICATION. SECTION 1: Account Information. SECTION 2: Contribution Type. SECTION 3: Investment Section
ROTH IRA APPLICATION IMPORTANT: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information
More informationREGULAR ACCOUNT APPLICATION
REGULAR ACCOUNT APPLICATION DRIVEN BY RESEARCH IMPORTANT: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain,
More informationTRUST OR CONSERVATORSHIP ACCOUNT APPLICATION
TRUST OR CONSERVATORSHIP ACCOUNT APPLICATION COMPLETE YOUR E*TRADE APPLICATION IN THREE EASY STEPS The Trust or Conservatorship Account Application you requested begins on the following page. To complete
More informationDPF - W Share Class (Ticker ZDPFWX) DPF - I Share Class (Ticker ZDPFIX) Brokerage Account Number, if applicable Home Telephone E-mail Address
TRANSFEROR/SELLER SECTION To be completed by individual transferring/selling Dividend Capital Diversified Property Fund shares. Throughout this form, references to prospectus mean the prospectus in effect
More informationCOVERDELL EDUCATION SAVINGS ACCOUNT APPLICATION
COVERDELL EDUCATION SAVINGS ACCOUNT APPLICATION IMPORTANT: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain,
More informationMid Atlantic Capital Corporation 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222 412-391-7077 Fax 412-391-7220
Mid Atlantic Capital Corporation 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222 412-391-7077 Fax 412-391-7220 Institutional New Account Application and Agreement ACCOUNT INFORMATION Name of Institution
More informationNEW ACCOUNT APPLICATION Please Print Clearly
NEW ACCOUNT APPLICATION Please Print Clearly P.O. Box 513100, Los Angeles, California 90051-1100 (800) 634-1100 Customer Identification Verification/USA PATRIOT Act - To help the government fight the funding
More informationPioneer Investments Account Application
Pioneer Investments Account Application Pioneer Mutual Funds Class A, Class C, and Class R Shares Use this application to purchase shares in a non-retirement account, except as indicated in Section 1C.
More informationA. Current account owner(s) Complete section 2, you may need to obtain a Medallion Guarantee. B. New account owner(s) Complete sections 3 through 10.
Non-Retirement Accounts N 1 Instructions Overview FOR ASSISTANCE with this form, call Shareholder Services at (800) 662-0201, or the Timothy Plan at (800) 846-7526. SIGNATURE GUARANTEE: For gifts over
More informationAccount Application. Step One Account Registration. Institutional Class Shares. Customer Identification Program. What this means for you:
Account Application Institutional Class Shares This application can only be used for initial purchase of the Institutional Class shares of The Royce Funds listed on page 3. It cannot be used to open an
More informationNew Account Application Please do not use this application for IRA s
New Account Application Please do not use this application for IRA s In compliance with the USA PATRIOT Act, all financial institutions (including mutual funds) are required to obtain, verify and record
More informationRoumell Opportunistic Value Fund
Roumell Opportunistic Value Fund A series of the Starboard Investment Trust SEP-IRA Application Form Make check payable to & mail to: Roumell Opportunistic Value Fund c/o Nottingham Shareholder Services
More informationHOOVER FINANCIAL ADVISORS, PC FINANCIAL PLANNING AND CONSULTING AGREEMENT
FINANCIAL PLANNING AND CONSULTING AGREEMENT This financial planning and/or consulting agreement ( Agreement ) made as of the day of, 2016 between the undersigned party, ( Client ), the Investment Advisory
More informationINSTITUTIONAL FUND CLASS I SHARES NEW ACCOUNT APPLICATION
INSTITUTIONAL FUND CLASS I SHARES NEW ACCOUNT APPLICATION (Please Print in Black Ink) For assistance in completing this application, please call your financial advisor or a Virtus Mutual Fund Services
More informationAPPLICATION FOR ANNUITY. Proposed Annuitant Name: FIRST MIDDLE LAST. Address: STREET CITY STATE ZIP
APPLICATION FOR ANNUITY Proposed Annuitant Name: FIRST MIDDLE LAST Address: STREET CITY STATE ZIP Social Security Number: Date of Birth: / / Sex: q Male q Female Proposed Second Annuitant Name: (if applicable
More informationCash Sweep Program Disclosure Agreement Alpine Securities Account Number Alpine Securities Account Title
Cash Sweep Program Disclosure Agreement Alpine Securities Account Number Alpine Securities Account Title Social Security/Tax ID Number Date of Birth (mm/dd/yyyy) Primary Physical Address (no P.O. boxes
More informationSUPPLEMENTAL APPLICATION FOR OPTION & MARGIN PRIVILEGES
SUPPLEMENTAL APPLICATION FOR OPTION & MARGIN PRIVILEGES 1. PRIMARY APPLICANT INFORMATION Brokerage Account Number Use this application to apply for the addition of margin or margin and option account privileges
More informationFinancial Advisor New Account Application
Financial Advisor New Account Application For Trusts, Partnerships, Corporations, Estates, or Other Entities Complete this application to establish an account for a trust, partnership, corporation, estate,
More informationIRA ADOPTION AGREEMENT
IRA ADOPTION AGREEMENT Please complete and sign this IRA Adoption Agreement after you have read the prospectus carefully. You may invest in as many of the UMB Scout Funds as you wish using just this application.
More informationIRA Application and Adoption Agreement
LEGG MASON FUNDS 1 IRA Application and Adoption Agreement This application should be used by you to open a retirement account investing in the Legg Mason Funds 1. BNY Mellon Investment Servicing Trust
More informationNEW ACCOUNT APPLICATION
NEW ACCOUNT APPLICATION ACCOUNT NUMBER BRANCH NUMBER I (We) would like to open a brokerage account with you ( my broker ). I understand that you have designated Apex Clearing Corporation ( Clearing Firm
More informationNew Account Application
New Account Application For Trusts, Partnerships, Corporations, Estates, or Other Entities Complete this application to establish an account for a trust, partnership, corporation, estate, or other entity.
More informationSIMPLE IRA Account Application (10/05/2015)
Hilltop Securities Inc. and/or Broker/Dealers for which it Clears Hilltop Securities Inc. - Member: NYSE/ FINRA/ SIPC New Account Account Update 1. Type of IRA (Check ONE) SIMPLE IRA Account Application
More informationCheck here if you are establishing this Account in connection with a SIMPLE IRA plan maintained by your employer.
LEGG MASON FUNDS 1 BNY Mellon Investment Servicing Trust Company SIMPLE Individual Retirement Custodial Account Application and Adoption Agreement This application should be used to open a SIMPLE IRA investing
More informationFill in the necessary information corresponding to the account s owner.
IRA APPLICATION It s easy to establish your account. Simply fill out this application, completing all relevant sections, sign in ink and return to: Regular Mail FundX Upgrader Funds c/o US Bancorp Fund
More informationBefore You Begin. INSTRUCTIONS Trading Authority Form
INSTRUCTIONS Trading Authority Form Use this form to: grant trading authority to an authorized agent (someone who is not an account owner) remove or replace authorized agents update information on an authorized
More informationACCOUNT APPLICATION FEDERAL CUSTOMER IDENTIFICATION REGULATIONS 1. ACCOUNT REGISTRATION (PLEASE INDICATE ACCOUNT TYPE)
Please return this completed application to: The Lazard Funds, Inc. P.O. Box 8514 Boston, MA 02266-8514 For assistance please call: (800) 986-3455 ACCOUNT APPLICATION Use this form to purchase Lazard mutual
More informationRetirement Plan Account Application
Retirement Plan Account Application PO Box 55932 Boston, MA 02205-5932 800-525-1093 Use this form to establish additional accounts at Janus under your existing employersponsored retirement plan (e.g.,
More informationSeptember 29, 2005. ABX Air, Inc. Employees:
September 29, 2005 ABX Air, Inc. Employees: Given the chance to either rent or own your own home, most people would select ownership. There is a certain sense of pride that comes with ownership in addition
More informationNew Account Application Individual/Joint/Custodian
TradePMR Use Only: Sub Firm: 211 Account #: Open Date: RIA Firm: 1 Registration Type Account Type (Select only one): Individual New Account Application Individual/Joint/Custodian Joint Tenants with Rights
More informationTransfer Form for Secondary Sales
Return via Standard Mail CB Richard Ellis Realty Trust PO Box 219001 Kansas City, MO 64121-9001 Return via Overnight Delivery CB Richard Ellis Realty Trust 430 W. 7th Street, Suite 219001 Kansas City,
More informationAuthorization to Convert a Janus Traditional IRA
Authorization to Convert a Janus Traditional IRA PO Box 55932 Boston, MA 02205-5932 800-525-1093 Use this form to convert assets from an existing Janus Traditional IRA to a new or existing Janus Roth IRA.
More informationNEW ACCOUNT APPLICATION
Use this New Account Application to open an individual, joint, UGMA/UTMA, trust, or corporate account. If you have any questions about completing this form, please contact Shareholder Services at 855.551.5521.
More informationIRA Distribution Request Form and Application for Investment Letter of Intent Agreement
LEGG MASON PARTNERS FUNDS 1 FUNDS IRA Distribution Request Form and Application for Investment Letter of Intent Agreement This application must be used to invest in Legg Mason Funds and must be completed
More informationINDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT
INDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT Please complete this application to establish a new Traditional IRA or Roth IRA. This application must be preceded or accompanied by a current
More informationFinancial Fact Finder
Financial Fact Finder Strategic Wealth Management Group Ltd. Chief Centre, Suite 100 455 Valley Brook Road McMurray, PA 15317 www.swmgroup.com Phone: 724.969.1180 Toll Free: 800.693.2200 Fax: 724.969.0321
More informationOwner s name (First, M.I., Last) Required. Street (P.O. Box not acceptable except for APO/FPO) Required. Other Information (Suite, Attention, etc.
IRA Application (ADOPTION AGREEMENT) Baron Asset Fund Baron Fifth Avenue Growth Fund Baron Growth Fund Baron Partners Fund Baron Discovery Fund Baron Focused Growth Fund Baron International Growth Fund
More informationTraditional, Roth, SEP-IRA, or SIMPLE IRA Application
Traditional, Roth, SEP-IRA, or SIMPLE IRA Application A fund family of Everence Please call if you have any questions about filling out this application. (800) 977-2947 Send this application, and if applicable,
More informationINDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT
INDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT Please complete this application to establish a new Traditional IRA or Roth IRA. This application must be preceded or accompanied by a current
More informationSIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT
SIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT Please complete this application to establish a new SIMPLE IRA. This application must be preceded or accompanied by a current Disclosure Statement and Custodial
More informationChange of Registration Joint Account Checklist
Change of Registration Joint Account Checklist PO Box 55932 Boston, MA 02205-5932 800-240-4313 Use these forms to add or remove an owner(s) on a joint account or transfer a joint account to a new owner(s).
More informationDefined Portfolio Distribution Instructions
Defined Portfolio Distribution Instructions Use this application to reinvest your Nuveen Defined Portfolio distributions or to direct them to a third party, your bank account, or an address other than
More informationDirect Rollover IRA Form
Direct Rollover IRA Form PO Box 55932 Boston, MA 02205-5932 800-379-7603 Use this form to invest an eligible rollover distribution from an employer s retirement plan into a new or existing IRA at Janus.
More informationOnline Brokerage Account Application
Branch Prefix FOR BRANCH USE ONLY Account Number RR RR2 Agency Online Brokerage Account Application Are holders employees of your B/D? No Yes If you learned about this account from an FTS Online Brochure
More informationas a custodian for under the UGMA/UTMA. Custodian s Name (only one permitted) Minor s Name (only one permitted) State
Account Application ASSET MANAGEMENT Do not use this application to establish an Individual Retirement Account. Please print all items clearly (except signature). To avoid having your application returned,
More informationNew Account Form/Application
New Form or Updated Form Advisory Account Clearing Account Representative # BD Account # (HO Use Only) Clearing Firm Account # New Account Form/Application ACCOUNT REGISTRATION (*include additional paperwork
More information2A. Investment Objective Definitions. Capital Preservation - a conservative investment strategy characterized by a desire to avoid risk of loss;
CUSTOMER ACCOUNT AGREEMENT This Customer Account Agreement (the Agreement ) sets forth the respective rights and obligations of Apex Clearing Corporation ( you or your or Apex ) and the Customer s (as
More informationCoverdell Education Savings Account Application and Adoption Agreement
LEGG MASON FUNDS 1 Coverdell Education Savings Account Application and Adoption Agreement This application should be used by you to open a Coverdell Education Savings Account investing in the Legg Mason
More informationRequest for Change of Registration
Request for Change of Registration To an Individual Account, Joint Account, Uniform Gifts/Transfers to Minors Act (UGMA/UTMA) Account, or Guardianship Account Complete this form to transfer ownership of
More informationGoldman Sachs IRA IRA
Goldman Sachs IRA A P P L I C A T I O N IRA Instructions for Opening Your Account New Accounts If you are opening a Traditional IRA, Roth IRA or SEP IRA, review this booklet and complete the Goldman Sachs
More informationInherited IRA Application for Individual Beneficiaries Information and Instructions
Inherited IRA Application for Individual Beneficiaries Information and Instructions www.schwab.com 1-800-435-4000 (inside the U.S.) +1-415-667-8400 (outside the U.S.) 1-888-686-6916 (multilingual services)
More informationSIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT
Please complete this application to establish a new SIMPLE IRA. This application must be preceded or accompanied by a current Disclosure Statement and Custodial Agreement. For Additional Copies or Assistance
More informationThe account owner is the person who establishes and controls the account. Account Owner s First Name M.I. Last Name
The State Farm College Savings Plan Account Application Please complete this application to establish your State Farm College Savings Plan account. IMPORTANT INFORMATION ABOUT OPENING AN ACCOUNT: To help
More informationSIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT
Please complete this application to establish a new SIMPLE IRA. This application must be preceded or accompanied by a current Disclosure Statement and Custodial Agreement. For Additional Copies or Assistance
More informationHealth Savings Account Packet
Health Savings Account Packet Please mail completed forms to: Jones National Bank & Trust Co. Attn: HSA Department PO Box 469 Seward NE 68434-0469 Questions, please call 402-643-3602 or 888-562-3602 Fax
More informationIRA Distribution Request
LEGG MASON FUNDS 1 IRA Distribution Request Use this form to request a one-time or systematic distribution from your Legg Mason Funds Traditional, SEP-IRA, Roth IRA or SIMPLE IRA. This form cannot be used
More informationA GUIDE TO MUTUAL FUND INVESTING
Many investors turn to mutual funds to meet their long-term financial goals. They offer the benefits of diversification and professional management and are seen as an easy and efficient way to invest.
More informationIndividual Retirement Account (IRA) New Account Application
Individual Retirement Account (IRA) New Account Application ederated The USA PATRIOT Act requires the Funds to obtain, verify, and record information that identifies each person who opens an account. Failure
More informationCOMMONWEALTH FINANCIAL NETWORK BANK DEPOSIT SWEEP PROGRAM (BDSP SM ) DISCLOSURE DOCUMENT
COMMONWEALTH FINANCIAL NETWORK BANK DEPOSIT SWEEP PROGRAM (BDSP SM ) DISCLOSURE DOCUMENT November 2015 This section highlights certain key features of the Bank Deposit Sweep Program. Please read the complete
More informationIndividual Retirement Account (IRA) Application
Individual Retirement Account (IRA) Application Use this form to open a Traditional, SEP or ROTH Individual Retirement Account ( IRA ). If you have questions about completing this form, please contact
More informationWEAC IRA Account Application (Select account type[s].)
P.O. Box 7893 Madison, WI 53707-7893 1-800-279-4030 Producer Code: Fax: (608) 237-2529 WEAC IRA Account Application (Select account type[s].) Traditional Inherited IRA: Name of Deceased: Roth SEP Deceased
More information855.550.5090. IMPORTANT:
Cedar Ridge Funds Use this New Account Application to open an individual, joint, UGMA/UTMA, trust, or corporate account. If you have any questions about completing this form, please contact Shareholder
More informationIRA APPLICATION STEP 1. IRA Type. Traditional IRA. Roth IRA SEP-IRA. Complete, sign, and mail to the above address
Eventide Funds c/o Gemini Fund Services LLC PO Box 541150 Omaha, NE 68154 877-771-EVEN (3836) WWW.EVENTIDEFUNDS.COM IRA APPLICATION Complete, sign, and mail to the above address IMPORTANT Eventide Funds
More informationYour Vanguard Brokerage Account
Your Vanguard Brokerage Account Disclosure statement Effective October 2015 What s the new Vanguard account structure? Our new account structure offers a simple way to organize all your investments. You
More informationIndividual Retirement Account (IRA) New Account Application
Individual Retirement Account (IRA) New Account Application ederated The USA PATRIOT Act requires the Funds to obtain, verify, and record information that identifies each person who opens an account. Failure
More informationInstitutional Account Application
Institutional Account Application For Individuals, Joint Accounts, Uniform Gifts/Transfers to Minors Act (UGMA/UTMA) Accounts, Guardianships, Estates, Trusts, and Business Accounts wellsfargo.com/advantagefunds
More informationPlease also complete and sign the attached Disclosure and Authorization Form as well as the W9 (or W8 if a foreign citizen).
STOCK USA EXECUTION SERVICES, INC. BROKERAGE ACCOUNT APPLICATION FOR INDIVIDUAL AND JOINT ACCOUNTS (Account carried with Electronic Transaction Clearing, Inc.) Important information. To help the government
More informationStreet Number Street Name Apartment Number. City State Zip Code
IRA Application PO Box 55932 Boston, MA 02205-5932 800-525-1093 You must be a current Janus retail shareholder or a member of their immediate family or household to open a new account directly with Janus.
More informationMargin Agreement. Account Number: To: APEX CLEARING CORPORATION AND, To: FIRSTRADE SECURITIES INC.
Margin Agreement To: APEX CLEARING CORPORATION AND, To: FIRSTRADE SECURITIES INC. Account Number: 1. I agree as follows with respect to the margin account I have opened with you for the purchase and sale
More informationPioneer Investments Retirement Plans
Pioneer Investments Retirement Plans Pioneer Funds Retirement Plans SIMPLE IRA Application It s Easy to Open a Pioneer SIMPLE IRA. 1. Select the Pioneer mutual fund(s) you wish to invest in for your SIMPLE
More informationInstitutional Class Account Application
U.S. Global Investors Funds Institutional Class Account Application YOUR ORIGINAL SIGNATURE(S) IS(ARE) REQUIRED IN SECTION 9 Accounts must have a valid physical U.S. address and each registered owner(s)
More informationSAMPLE. Investment Professional Number
ROTH IRA ACCOUNT APPLICATION ACCOUNT APPLICATION AND AGREEMENT Hanlon assigns upon receipt Welcome to Pershing Advisor Solutions. To open and fund your new investment account(s), please provide all the
More informationDESCRIPTION OF THE PLAN
DESCRIPTION OF THE PLAN PURPOSE 1. What is the purpose of the Plan? The purpose of the Plan is to provide eligible record owners of common stock of the Company with a simple and convenient means of investing
More informationInvestment Advisory Agreement. Advantage Portfolio Management Program
Investment Advisory Agreement Advantage Portfolio Management Program Dear Sirs/Madams: This Investment Advisory Agreement confirms our agreement as to the following: CLIENT NAME(s): ( Client ) ACCOUNT
More informationInheriting a Roth IRA Beneficiary Checklist
Inheriting a Roth IRA Beneficiary Checklist PO Box 55932 Boston, MA 02205-5932 800-240-4313 Re-registration Requirements Completed Janus IRA Beneficiary Claim Form Individual Claim Form - For spouse or
More informationDiscretionary Investment Advisory Agreement
Discretionary Investment Advisory Agreement This INVESTMENT ADVISORY AGREEMENT (hereinafter referred to as the Agreement ) is made and entered into this day of _, 20, by and between investment advisory
More informationI m ready to make the switch.
I m ready to make the switch. We make it easy 4 simple steps. This switch kit has all the forms you need to transfer your checking accounts to Salem Five. Just fill it out, print, sign and return. 1. OPEN
More informationIRA Application. Class C and S Shares
IRA Application Class C and S Shares Instructions Use this form for IRA individual, custodial, trust,profit-sharing and pension plan accounts. Do not use this form for ICON Funds Class A accounts. For
More information