| PRIMARY ACCOUNT HOLDER | |
| Load Existing | See details about this function in the navigation section of this guide This field is used to search against the client information in your contact manager and find contacts that match your search criteria. Any contact in your contact manager can be used to populate the primary account holder screen. Start by typing the client’s name. Next, use your mouse to click on the name that you want to load. Clicking on the name will load any of the client’s existing information into the screen. |
| First, Middle, Last Name, Suffix | - Provide the full legal name of the primary account holder.
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| Gender (Optional) | - Provide the gender of the primary account holder.
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U.S. Citizen Country of Citizenship | - Indicate if the primary account holder is a U.S. Citizen.
- If the primary account holder is not a U.S. Citizen, indicate the country of citizenship.
- The registered rep is to determine if the primary account holder is a resident alien. A resident alien can be identified based on the following:
- Resides in the U.S. - Is not a U.S. citizen – Is assigned an SSN -Does not meet qualifications of nonresident alien -Is required to complete a W-9 –Receives the same tax considerations as a U.S. citizen.
- Must provide one of the following original documents to the broker dealer: Current U.S. driver's license - INS permanent resident alien card (green card) or Passport and U.S. Visa
- We do not open accounts for Non Resident Aliens or US Citizens residing in a foreign jurisdiction.
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| Social Security Number | - Provide the Social Security number for the primary account holder.
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| Date of Birth | - Provide the Social Security number for the primary account holder.
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| Home Phone | - Provide the Home Phone for the primary account holder.
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| ADDRESSES |
| Legal | - Give the full legal address of the primary account holder.
- No P.O. Boxes or drop boxes may be used in this section.
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| Mailing | - Provide the complete mailing address. The mailing address is required. If this address is the same as the Legal address, you may check the “same as Legal Address” box to fill in the mailing address fields with the legal address information.
- This is the address that will be used to send the Welcome or Update Letter.
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| EMPLOYMENT INFORMATION |
Employer Name | - Provide the current employer’s name.
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| Occupation | - Provide the Title/Occupation of the primary account holder. If retired, unemployed, or homemaker, please indicate. If self- employed, provide occupation.
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| Employer's Address | - Provide the Employer’s address.
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| Business Phone (Optional) | - Provide the business phone for the employer.
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| Years With Current Employer | - Provide the years that the primary account owner has been employed with their current employer.
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| AFFILIATION INFORMATION | - Answer Yes or No to the affiliation questions.
- If No, the additional details are required.
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| CUSTOMER IDENTIFICATION PROGRAM |
| | An unexpired, government-issued photo id is required with all CAF’s for all associated individuals. The following IDs with photographs are acceptable: Driver’s License, ID card issue by federal, state or local government, Military dependent ID, U.S. Passport or Permanent Resident card. Foreign residents should provide a copy of their passport or permanent resident card. Check the appropriate box and fill out the following for the primary account holder: |
| Type of ID | - Choose Driver’s License, Military Dependent ID, Passport or Permanent Residence.
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| Issued By | - Provide name of issuing entity.
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| ID Number | - The number listed on the government issued ID.
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| Copy of ID | - Scan and attach a copy of the primary account holder’s ID. PDF is recommended
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