Account Service Forms
All the forms you need to help your clients manage their accounts are right here. Many forms can be completed online, then printed, signed and returned to us via mail or fax. Or, you can have your clients do the process manually by printing the form, then filling it out and returning to us.
Questions? Contact our operations department at 415.543.8500 or e-mail us.
|Accommodation Transfer Form
|Register and ship securities to a name and address other than the name and address that is the official address of record for the account.
|ACH Authorization Agreement
|Establish periodic credits from a client’s retail or non-Pershing LLC custodial brokerage account to the client’s bank account.
|Account Transfer Form
|Transfer (either partially or in full) assets held at another organization into your control through Pershing, as well as request the rollover of assets from a qualified retirement plan (QRP) into an individual retirement account or another QRP.
|Affidavit of Domicile
|Sell and/or transfer estate-owned stock
|Asset Movement Authorization Form
|Request that assets be moved (via journal entry) between retail accounts and certain retirement accounts (individual retirement accounts, simplified employee pensions [SEPs], and salary reduction SEPs).
|Certificate of Sole Proprietorship
|Confirm that you are the sole proprietor of the entity for which you wish to open an account.
|Certification Regarding Beneficial Owners of Legal Entity Customers
|Confirm you are a beneficial owner of the entity for which you wish to open an account.
|Corporate Resolution Certification
|Designate an authorized individual(s) to act on behalf of a corporation.
|Corestone Account Application
|Check writing application form
|Direct Deposit Authorization
|Establish direct deposit from your bank into a brokerage account.
|IRA Adoption Agreement and Form
|Open a Traditional individual retirement account (IRA) and define plan terms.
|IRA Contribution Form
|Make a contribution to a Traditional individual retirement account (IRA), Roth IRA, simplified employee pension (SEPs), and salary reduction SEPs, SIMPLE IRA, or Education Savings Account.
|IRA Designation of Beneficiary Form
|Specify a change in the beneficiary for a Traditional individual retirement account (IRA), Roth IRA, simplified employee pension, SIMPLE IRA, or Education Savings Account.
|IRA Distribution Form
|Request a distribution from a Traditional individual retirement account (IRA), Roth IRA, simplified employee pension, SIMPLE IRA, and Education Savings Account.
|IRA Resource Checking Application
|Establish a checking account for your IRA
|IRS Form W-9
|Verify a client’s Social Security Number or Tax Identification Number. This form is only necessary if the W-9 is not included in your firm’s New Account Form.
|Irrevocable Stock or Bond Power Form
|Make a certificate negotiable when the back of it has not been signed.
|Establish a CreditAdvance account for margin trading (if approved).
|New Account Form
|Establish a retail or non-Pershing LLC custodial account. This form is updated to capture account information as required by the USA PATRIOT Act.
|Used for entities that are Non-Profit Organizations.
|Option Agreement and Approval Form
|Establish an account for option trading (if approved). This version incorporates the updated language announced in Bulletin #2005-68.
|PO Box Authorization Form
|Authorize your broker-dealer to send mail to a post office box.
|Request for Disposition of a Nontransferable Security Form
|Request the disposition of a nontransferable security by issuing a certificate or processing a dollar trade.
|ROTH IRA Adoption Agreement and Form
|Establish a Roth IRA and define plan terms.
|ROTH IRA Conversion/Recharacterization
|Reverse the amount(s), plus earnings, of a Traditional individual retirement account (IRA), simplified employee pension, or SIMPLE IRA contribution or to transact a conversion in order to transfer the funds to a desired Roth IRA.
|Tax Correction Request Form
|Use for any tax correction requests. This form should be faxed to the tax reporting department along with a Tax Information Statement.
|Third Party Release and Deposit Authorization Form
|Use this form if the registration on the certificate being deposited into a Pershing brokerage account does not match.
|Trading Authorization and Indemnification Form
|Appoint an individual as agent/attorney-in-fact for an account.
|Transfer on Death of Individual
|Authorize the designation of an individual account as “Transfer on Death.”
|Transfer on Death – Joint Tenants
|Authorize the designation of a joint account as “Transfer on Death.”
|Trustee Certification of Investment Powers
|Authorize the designation of Trustees
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