Document Center

Welcome to the Trading Direct Document Center.

Here you will find all the necessary forms and documents. Adobe Acrobat Reader version 8.0 is required to view most forms. If not already installed, download for free from Adobe's website. Simply click on the link or icon to download the necessary form. If you have questions about filling out any form, or need one mailed or faxed, please contact us.

NOTE: The fastest way to open an individual, joint (rights of survivorship), custodial, or Traditional or Roth IRA account is through our Secure Online Application.

Please mail all completed documents to:

TRADING DIRECT
160 BROADWAY
REAR BLDG FL 7
NEW YORK NY 10038

 

Online Agreements

Online Service Agreement & Signature Form for either a cash account or margin account is mandatory documentation to validate all online applications.

Basic New Account Applications

Individual, Joint or Custodial Account

Please print and mail following forms in order to open an individual, joint, or custodial account.

  1. Cash Account Application for individual, joint, or custodial account
  2. Online Service Agreement & Signature Form

Specialized New Account Applications

Corporate Account

Please print and mail the following mandatory forms to Trading Direct...

  1. Corporate Account Application
  2. New Account Application
  3. Authorized Member / Partner form
  4. Sole Officer Form (if applicable)
  5. Online Service Agreement & Signature Form

What else can I do? Optional forms...

  1. Transfer an account from another broker: Account Transfer Form
  2. Set up electronic fund transfers with your bank: ACH Agreement
  3. Trade on margin: Margin Agreement
  4. Trade call and put options: Options Agreement
Note: International corporate accounts are not accepted, US only.
Estate Account

General Client Instructions...

RE: ESTATE OF John Doe.- TAXABLE BROKERAGE ACCOUNT AT TRADING DIRECT, A DIVISION OF YORK SECURITIES, INC

Mandatory documentation needed to be furnished by Executor/trix:

  1. Affidavit of Domicile
  2. Court Appointment, also known as Letters Testamentary (a photocopy will suffice)
  3. Death Certificate (a photocopy will suffice)
  4. Signed and notarized letter of instruction (LOA) to transfer assets from deceased's account to the new Estate of account.
  5. W-9 form referencing new tax id number for the estate of the deceased (obtain from the Social Security Administration or the IRS)
  6. New Account Application (reference the tax id # of the estate on this form, not your social security number) which will be titled as...
    Estate of John Doe
    Jane Doe Executrix (Executor)

Optional documentation...

  1. Online Service Agreement & Signature Form (submit only if you plan to access the estate account online)
  2. Margin Agreement (submit only if the deceased's account has a margin debit balance)
  3. Options Agreement (submit only if the deceased's account contains put or call option contracts)
Partnership or Investment Club

Please print and mail the following mandatory forms to Trading Direct...

  1. Partnership/Investment Club Account Application
  2. New Account Application
  3. Authorized Member / Partner form
  4. Online Service Agreement & Signature Form

What else can I do? Optional forms...

  1. Transfer an account from another broker: Account Transfer Form
  2. Set up electronic fund transfers with your bank: ACH Agreement
  3. Trade on margin: Margin Agreement
  4. Trade call and put options: Options Agreement

Instructions for the Partnership Agreement...

  • a. The first two blanks are the name of the investment club/partnership.

    b. The third blank should have the printed names of anyone authorized to trade on the account.

    c. On the back, the line above the boxes should be signed by anyone authorized to trade on the account. Draw more lines for signatures if needed.

    d. Each member must PRINT their name legibly on the first line, print their FULL address (including city/state/zip) on the second line, and list their occupation/title on the third. They must sign their name on the signature line. Keep a blank copy to add new members in the future. EACH PAGE WITH MEMBERS MUST HAVE THE ORIGINAL SIGNATURES OF THE AUTHORIZED TRADERS AT THE TOP.

    Note: All documents must be signed by the person(s) authorized to trade on this account. Also, please be aware that Investment Clubs must have three (3) or more members to be opened.
LLC Account

Mandatory...

Please print and mail the following forms to Trading Direct...

  1. LLC Agreement
  2. New Account Application
  3. A photocopy of the LLC's Articles of Organization.
  4. Authorized Member / Partner form
  5. IRS W-9 form
  6. Online Service Agreement & Signature Form

What else can I do? Optional...

  1. Transfer an account from another broker: Account Transfer Form
  2. Set up electronic fund transfers with your bank: ACH Agreement
  3. Trade on margin: Margin Agreement
  4. Trade call and put options: Options Agreement
Transfer On Death (TOD)

Please print and mail the following form to Trading Direct...

  • Notarization is required. This form may be submitted by itself to update an existing individual account. (If your individual taxable account has not been opened yet, please also submit a basic new account application).
    Please note, this type of account may NOT be opened in all 50 US States. Visit the Securities Industry Association web site for a complete listing of states.
    Also note, if naming a trust as a beneficiary, please also submit a Trustee Certification of Investment Powers form.
Trust Account

Mandatory Forms:

Please print and mail the following to Trading Direct...

  1. Trustee Certificate of Investment Powers
  2. A photocopy of the pages of your trust agreement showing the following:
    • Names of people involved with the trust (usually the first page)
    • Powers of the trust (the types of investments, and whether or not leverage is permitted)
    • Signatures of Trustees (usually the last page)
  3. New Account Application
  4. Authorized Member / Trustee form
  5. Online Service Agreement & Signature Form

What else can I do? Optional forms:

  1. Transfer an account from another broker: Account Transfer Form
  2. Set up electronic fund transfers with your bank: ACH Agreement
  3. Trade on margin: Margin Agreement
  4. Trade call and put options: Options Agreement

Additional Account Entitlements

International Accounts

Please refer to the Foreign Investors page for additional details.

Retirement Account - IRA's

(The Traditional, Roth, and Rollover IRAs all available as paperless, online applications, click here.)

Traditional or Rollover IRA

Mandatory Forms:

Optional Forms:

For Reference:

  • Traditional IRA eligibility: You can establish and make contributions to an IRA if you received taxable compensation during the year and have not yet reached the age of 70 1/2 by the end of the year. Contributions may be made up to the lesser of 100% of compensation or $5,000 ($6,000 for individuals over the age of 50) in 2010. If you maintain multiple IRA accounts, the maximum contribution to all of the accounts can not exceed these totals. An IRA for any year may be opened and funded at anytime before the due date for filing your tax return, not including any extensions.
  • Rollover IRA eligibility: If you received an eligible rollover distribution from your IRA, employer's qualified pension, profit sharing or stock bonus plan, annuity plan, or tax sheltered annuity plan (403(b) plan), you can roll over all or part of it into an IRA. Rollover contributions must be made by the 60th day after the day you receive a distribution from your IRA or employer's plan in order to continue their tax-deferred status.
Roth IRA
  • Roth IRA eligibility: For eligibility rules and contribution limits, see IRS Publication 590, page 56.
  • Traditional IRA vs. Roth IRA: Unlike contributions to a Traditional IRA, contributions to a Roth IRA are not deductible. Distributions from a Roth IRA are tax-free if held for at least five years and used for a qualified purpose such as reaching age 59, disability, first home purchase, or death.
    Contributions may be made after age 70. No required minimum distribution rules apply. Traditional IRAs may be converted to Roth IRAs provided the taxpayers adjusted gross income is under the limit.
SEP IRA
  • SEP IRA eligibility: Any employer, including a sole proprietor with no employees, can establish a SEP for the benefit of all eligible employees. The owner of the business is also considered an employee who is eligible to receive a SEP contribution. Due to everchanging tax laws, refer to IRS Publication 560 for further details.
Simple IRA

Optional Forms:

For Reference:

Beneficiary IRA

Mandatory Forms:

  • IRA Adoption Agreement (Be sure to write in "Beneficiary IRA" at top of form)
  • Online Service Agreement
  • IRA Distribution Form
  • Affidavit of Domicile
  • Death Certificate (a photocopy will suffice)
  • If there are no surving beneficaries, the executor/trix must also sumbit a signed and notarized letter stating to the effect: “John Doe passed away on xx/xx/xxxx. Transfer all assets from deceased’s IRA account to my IRA beneficiary account.”

For Reference:

Education Savings Account

* This particular form may be faxed to (212) 766-0914.

BEFORE EXECUTING THESE FORMS YOU SHOULD CONSULT WITH YOUR ATTORNEY OR TAX ADVISOR TO DETERMINE WHETHER THIS IRA WILL ACCOMPLISH YOUR GOALS.

Account Transfer Forms

Other Documents and Forms

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