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  • You will need a copy of
    Adobe Reader to print
    the additional forms.

     

    Download Forms

    In order to print out the forms, you need to first download and install the latest version of Adobe Acrobat Reader. If you do not have Adobe Acrobat, you can Download Adobe Acrobat Reader now. If you already installed the Adobe Acrobat Reader, you can click on the link to view/print the form, or you can right click on the link to download.

    Personal Account Application

    • Pattern Day Trader Change of Strategy Form
      If you would no longer like to be coded as a pattern day trader, but still want to conduct occasional day trades, please fill out this form
    • Option Agreement
      To qualify for trading options, you must first read, complete, sign and return the Option Agreement.
      Required: Options involve specific risks and complexities, and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of Characteristics and Risks of Standardized Options. Uncovered options carry special risks and uncovered option writers must also read the Statement for Uncovered Option Writers. Copies of this document are available by calling your broker. You may also request a copy of the printed booklet delivered by U.S. postal mail.
    • Limited Trading Authorization
      To authorize agents to place trades only for you, you need to fill out this form. Please be aware that this form authorizes the agent to effect buy/sell transactions only.
    • Full Trading Authorization
      To authorize agents to place trades and request funds for you, you need to fill out this form. Please be aware that this form authorizes the agent to effect buy/sell transactions and also request funds from the account.
    • Joint Account Agreement - Tenants In Common
      If you would like to open the Joint Tenants in Common Account, you need to fill out, sign and return the Joint Account Agreement.

    Professional Account Application

    Check Writing Application

    • Check Writing - Money Market
      If you would like to open Money Market Fund account for the check writing or debit card privileges, you need to submit this form to complete your application process.

    Futures Account Application

    • Futures Account Application
      If you would like to open a futures trading account you need to submit this form to complete your application process.

    Forex Account Application

    Transfer Forms

    • ACAT Request Form
      If you need to transfer securities and/or funds from another institution, you need to submit this form to complete your application process. Please include a separate transfer form for each account you're transferring along with a copy of the most recent statements for each account.
    • Journal Request - LOA
      Transfer between two accounts held at the same clearing firm only.
    • ACH Authorization
      Automatic electronic transfer to and from client bank accounts.

    Portfolio Margin Accounts

    IRA Forms

    Auto Trading Service Documents

    Tax Forms

    • W8-BEN *
      Foreign Account holders must complete and sign a W-8 form to be exempt from U.S. taxes. *Also you must send a copy of your passport. (You must mail in original signed W8-BEN within 30 days of opening account)

    Miscellaneous Forms

    ROUTING REPORT | PRIVACY | DAY TRADING RISK DISCLOSURE | MARGIN DISCLOSURE | FUTURES RISK | EXTENDED HOURS
    SITE MAP | ORDER FLOW | PENNY STOCKS | CIP NOTICE | TRADERS RESPONSIBILITIES | RISKS OF OPTIONS

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    * All transactions are executed through Stock USA Execution Services Member FINRA, PCX, NSX, SIPC, & NFA
    System response, trade executions and account access may be affected by market conditions, system performance, quote delays and other factors. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your financial resources and circumstances.
    Stock USA Execution Services is registered in all 50 states and Puerto Rico.
    Stock USA Execution Services is compensated from a portion of the bid/ask spreads for FX Trades.
    Stock USA Execution Services is a wholly owned subsidiary of Stock USA Financial, Inc.
    * All commission rates are negotiated. You may qualify for rates shown based on your activity. Please contact us to negotiate rates. Other fees and conditions may apply, please see our commissions and routing fees.

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