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|
User ID and E-Delivery Request
Form |
Use this form to
request a User ID and request E-delivery of trade
confirms and statements.
Beginning June 1, 2010 your account may be subject to
fees for paper confirms and statements. |
|
New Account Application Form |
Application for New, Corporate, other types of accounts. |
| New
Institutional Account Application Form |
Application for new
institutional accounts. |
| Margin
Agreement |
Margin Agreement and
Disclosure Statement |
| Margin and Day Trading Disclosure |
Required disclosures by
FINRA Rule 2341 and 2361 |
| Option
Agreement Form |
You must download the Options Risk Disclosure
document and Addendums in addition to the Options
forms. |
| Options Risk Disclosure |
|
| Supplement January 2011 |
January 2011 Supplement to Characteristics and Risks of Standardized Options |
| Supplement March 2011 |
March 2011 Supplement to Characteristics and Risks of Standardized Options |
| Options Special Statement for Uncovered Writing |
|
| Traditional IRA Forms |
Ira Application; Adoption Agreement |
| Roth Re-characterization Forms |
Roth Recharacterization Form |
| Roth IRA Adoption Forms |
Roth IRA Adoption Agreement |
| Designation of Beneficiary for
IRAs |
Designation of Beneficiary |
| IRA Contribution |
Use this form to make a contribution to your IRA, if appropriate and valid. |
| IRA Distribution |
Use this form to request distribution of assets from Traditional IRA, SEP IRA, Simple IRA, Roth IRA and Education IRAs |
| IRA Asset Movement between Accounts |
Ira Asset movement beween accounts |
|
Trading
Authorization and Indemnification Form
(Notarizations required)
|
To permit a third party to make investment decisions regarding your account. Both the account holder and the agent for the account holder must sign this document. |
| Irrevocable Stock Power |
For depositing stock or bond certificates into your account. For those concerned about mailing endorsed securities, please submit the securities in a separate envelope than the stock power. |
| Valueless Security Sale |
To dispose of valueless security for bookkeeping purposes. |
| Internal Revenue Service W9 |
|
| Internal Revenue Service W8 |
For Foreign accounts
please visit www.irs.gov |
| Corporate Resolution |
Necessary for corporate accounts. |
Funds Request Forms |
Use this form to request a cash distribution by check or Federal wires. Please be sure to complete fully and deliver to us via. fax, US mail or other courier services. Please note that if you are wiring via. the Fed Funds Wire system and have wiring instructions from the Receiving institution, please attach those to the document you fax to us. |
| Account Transfer Forms
(ACAT/NON-ACAT) |
For full (ACAT) or partial (NON-ACAT) transfers of any and all securities, regardless of whether the firm is DTC eligible. This form is completed, signed and submitted to Trade Manage Capital, Inc. & Co., Inc. If you fax this document, please be sure to submit hard copies by mail.
Some delivering firms require copies of the customer's most recent statement. Please provide a copy of your statement from the delivering firm to help expedite the transfer. |
| Incoming ($/assets To Trade Manage Capital, Inc.) Federal Funds Cash Transfer Instructions you give to the Delivering Bank |
To Transfer Cash from one institution to your account at Trade Manage Capital, Inc.. Usually this can be accomplished same-day, if your delivering firm is compliant. This form is completed, signed and submitted by fax or mail to the delivering firm. Please fax us a copy so we can track the transfer. |
DTC Stock Transfer Instructions |
To Transfer securities from one institution to your account at Trade Manage Capital, Inc.. Usually this can be accomplished same-day, if your delivering firm is compliant. This form is completed, signed and submitted by fax or mail to the delivering firm. Please fax us a copy so we can track the transfer. |
| Intra-Trade Manage Capital, Inc. Security Transfer |
This form instructs us to move assets between two Trade Manage Capital, Inc. & Co., Inc. accounts. Please complete, sign and submit to us. |
| Exercise Sale Instructions
Employee
Stock Options Exercise and Sales
|
Complete both forms. |
| Change in Account Information |
Change in Account information (address, state, zip, phone, etc) |
| Email Template for Short Borrow Requests |
Use this template for emailing requests to borrow stock for potential short sales. Borrowing stock does not obligate you to a trade, yet can help expedite the process when you infact decide to sell short, as the security will already be secured. |
| Email
Template for Live Orders |
Use this template for emailing the Trading Desk pre-open orders, intra-day stops and limits and to request us to borrow stock for shorting purposes. Instructions included. |
| Firm Brochure - Main Brochure |
Download our full color firm brochure to get the full story on Trade Manage Capital, Inc. and learn how we can best help you meet your financial objectives. The full brochure consists of the Main Pages and the Insert Pages. Please download both. |
| IRA
Resource Checking Application |
Application required for
IRA checking writing |
| Procash
Plus |
Application
required for non-retirement account check writing |
| Partnership Agreement |
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