WorldTrade Online Stock Trading and Brokerage System

Account Forms (Penson Financial Services)

Items that are not links are documents that must be provided by the applicant.
We require a copy of a valid driver's license or passport for each individual that has authorization to transact business on your account. Please contact your broker if you have any questions concerning the forms below.

Individual and Joint Accounts Application

Individual Application Packet (Domestic Account) Updated 8/12/2008
Individual Application Packet (non-Domestic Account) Updated 8/12/2008
Margin Agreement(optional)
Joint Account Agreement

Sole Proprietor/DBA Account

Account Application
Customer Account Agreement (Updated 8/12/2008)
Margin Agreement (optional)
Affidavit of Sole Ownership
Assumed Name Certificate (provided by your state)
Required only for entities doing business as other entities

Corporate Account

Account Application
Customer Account Agreement (Updated 8/12/2008)
Margin Agreement (optional)
Corporate Account Agreement
CIP Addendum
Copy of Articles of Incorporation
Certificate of Organization or Corporate Charter

Limited Liability Company

Account Application
Customer Account Agreement (Updated 8/12/2008)
Margin Agreement(optional)
LLC Form
CIP Addendum
Copy of Operating Agreement

Partnership Accounts

Account Application
Customer Account Agreement (Updated 8/12/2008)
Margin Agreement(optional)
Partnership Account Agreement
Copy of Partnership Agreement

NOTE: All applications will require either the W9 or W8BEN Tax form.

Trading Authorization
Full Trading Authorization
Limited Trading Authorization

Disclosure Documents
Business Contingency Plan
Customer ID Program Notice
Day Trading Risk Disclosure
Direct Communications
Email Disclaimer
Margin Disclosure Statement
Miscellaneous Fees
Penny Stock Disclosure Statement

Adding Margin
Margin Agreement

Additional Forms
ACAT Form
Change of Address
Affidavit of Domicile
Check Writing/Visa Card
144 Broker's Letter (updated 3/31)
Form 144 Packet
144(b)(1) Seller's Letter (nonAffiliate) (updated 3/31)
144 Six Month Holding Period Seller's Letter (nonAffiliate) (updated 3/31)
Penny Stock Letter
Stock Bond Power
Wire Request
LOA
LOA Guidelines
Cert Deposit (1 signer)
Cert Deposit (over 1 million shares)