Required Documentation for Custodian Account:

• New Account Form

• W9 for U.S. Citizens and U.S. Residents

• W8 for Foreign Nationals

Required Documentation for COD Account:

• COD New Account Form (No other Paperwork Required)

Prime Broker Account:

• Form 151

Retirement Plan:

• New Account Form

• Adoption Agreement

• (5305/5304 or additional QRP documentation when applicable)

Estate Account:

• New Account Form

• W9 for U.S. Citizens and U.S. Residents

• W8 for Foreign Nationals

• Letters of Testamentary (Current – Certified within 60 days)

Other Forms – When applicable:

• ProCashPlus Application (Debit Card and Checks) + Supporting Documentation

• Electronic Bill Pay form

• Resource Checking Application (Basic Checkwriting) + Supporting Documentation

• Select Link Agreement (Householding Accounts)

• Incoming ACH form

• Outgoing ACH form

• Retirement Plan Distribution form

• Direct Deposit Agreement

• Precious Metal Agreement

Member: FINRA & SIPC