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
Basic New Account Applications
Specialized New Account Applications
Additional Account Entitlements
International Accounts
Retirement Accounts IRAs
Account Transfer Forms
Other Documents & Forms

Key: printable HTML form Adobe PDF file(s)

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

File Document Title
Online Service Agreement Signature Form for Margin Account
Online Service Agreement Signature Form for Cash Account
Online Brokerage Agreement for Margin Account
Online Brokerage Agreement for Cash Account

Please mail all completed documents to:
TRADING DIRECT
160 BROADWAY
REAR BLDG FL 7
NEW YORK NY 10038

Basic New Account Applications:

File Document Title
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

Please mail all completed documents to:
TRADING DIRECT
160 Broadway
Rear Bldg FL 7
New York NY 10038

Specialized New Account Applications:

File Document Title
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


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



Transfer On Death (TOD)


  • 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


Please mail all completed documents to:
TRADING DIRECT
160 Broadway
Rear Bldg FL 7
New York NY 10038

Additional Account Entitlements:

File Document Title
Margin Agreement
Options Agreement
Characteristics and Risks of Standardized Options booklet (for reference only)
Valet Account

Please mail all completed documents to:
TRADING DIRECT
160 Broadway
Rear Bldg, FL 7
New York NY 10038

International Accounts:
Please refer to the Opening an International Account page for additional details.

File Document Title
IRS tax form W-8BEN
 W-8BEN Instructions (For Reference Only)

Please mail all completed documents to:
TRADING DIRECT
160 Broadway, FL 7E
New York NY 10038
USA

Retirement Account - IRA's:
(The Traditional, Roth, and Rollover IRAs all available as paperless, online applications,click here.)

File Document Title
Traditional or Rollover IRA


  • 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 $4,000 ($5,000 for individuals over the age of 50) in 2007 and $5,000 in 2008 ($6,000 for individuals over the age of 50 in 2008). 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: Individuals with adjusted gross income (AGI) up to $99,000 and married couples filing jointly with AGI up to $156,000 can make full contributions to a Roth IRA. Married couples filing single returns can only contribute if their adjusted gross income is under $10,000. • The total amount you may contribute to a Roth IRA for any taxable year cannot exceed the lesser of $4,000 in 2007, and $5,000 in tax years 2008. Individuals over the age of 50 can contribute $5,000 in 2007 and $6,000 for tax years 2008. • If you maintain a Traditional IRA, the maximum contribution to your Roth IRA is reduced by any contributions made to your Traditional IRA.

  • 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 ½, disability, first home purchase, or death. • Contributions may be made after age 70 ½. • No required minimum distribution rules apply. • Traditional IRAs may be converted to Roth IRAs provided the taxpayers adjusted gross income is under $100,000.


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. Up to the lesser of 25 percent of compensation or $41,000 can be deposited annually for an eligible employee (or such other amount provided by law). An eligible employee who receives a SEP contribution can also make an annual IRA contribution of the lesser of 100% of earned income up to $3,000 for 2004 and $4,000 for 2005-2007. A SEP IRA may be opened and funded up until the employer's tax filing deadline, including extensions.


Simple IRA


  • Simple IRA Employer eligibility: You are eligible to establish and maintain a SIMPLE IRA plan only if you employed 100 or fewer employees last year that earned $5,000 or more in compensation from you during the year. Also, you may not maintain any other qualified retirement plan in which your employees currently accrue benefits.

  • Contributions:
    Employee Salary Deferral Contributions: Employees may contribute up to: $10,500 in 2007. Future increases will be based cost of living adjustments. Eligible individuals over age 50 may make catch up contributions of up to: $2,500 in 2007. Beyond 2007, catch up contributions will be based on cost of living adjustments. Please contact your Tax Advisor for additional details.
  • Employer SIMPLE Contributions: Employers are required to make contributions to the SIMPLE IRA account of all employees.
    Employers are required to use one of the following contribution formulas:
    1. Match each eligible employee's contribution dollar-for-dollar up to 3% of the employee's compensation; or,
    2. Elect to make a matching contribution of up to 3% of compensation in any two of the last five calendar years, including the year the match is reduced. The reduction may not be less than 1% of each employee's compensation; or,
    3. In any calendar year, the matching contribution may be replaced with a 2% contribution to all employees. This is called a nonelective contribution and must be made to all eligible employees regardless of whether or not they contribute through salary deferrals.


Beneficiary IRA



Education Savings Account


  • Education Savings Account Eligibility: Any Individuals who fall within certain income limits may make contributions up to $2,000 per year on behalf of a child under the age of 18.
    • Single tax filers with annual adjusted gross income (AGI) up to $95,000 or married couples with AGI up to $190,000 are eligible to make the maximum annual contribution to a Coverdell ESA. The amount that may be contributed is gradually reduced to zero at AGI levels between $95,000 and $110,000 for single filers and between $190,000 and $220,000 for joint filers.

  • Tax Deferred Earnings / Tax Free Withdrawals: While contributions are not tax deductible, the earnings in the account grow on a tax deferred basis and distributions are tax free if used to pay qualified higher education expenses.
    • Qualified higher education expenses include college level tuition, fees, books, equipment, and basic room and board.
    • Any withdrawals not used for qualified education expenses are subject to both income taxes and a 10% IRS penalty and must be distributed to the Designated Beneficiary within 30 days of their 30th birthday.
Beneficiary Designation
IRA Distribution Form*
IRA Check Writing (for those over 59 1/2)
IRA Journal Contribution Form**

Please mail all completed documents to:
TRADING DIRECT
160 Broadway
East Bldg, FL 7
New York NY 10038

*This form may be used for Roth conversions, refund of excess contributions, and distributing money or stock from your IRA to another Trading Direct account. (This particular form may be faxed to (212) 766-0914, or scan & email attachment to info@tradingdirect.com).

** Journal transfer funds from your individual taxable account to an IRA. (This particular form may be faxed to (212) 766-0914, or scan & email attachment to info@tradingdirect.com).

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:
To review how to set up an ACH profile, click here.

File Document Title
Account Transfer Form
ACH Agreement
Special Transfer Registration Form
Wire Transfer Form*
IRA Distribution Form*
IRA Journal Contribution Form*

Please mail all completed documents to:

TRADING DIRECT
160 Broadway, FL 7E
New York, New York 10038

*These forms may be faxed to (212) 766-0914, or scan & email attachment to info@tradingdirect.com.

Other Documents and Forms:
To review how to set up an ACH profile, click here.

File Document Title
Address Change Form
Affidavit of Domicile
Dividend Reinvestment Plan
Householding Form
Limited Trading Authorization Form
Mail Authorization Form
Mutual Fund Period Investment Plan Form
Stock Power Form
Stock Receipt
W-9
W-8BEN
W-8BEN Instructions

Please mail all completed documents to:
TRADING DIRECT
160 Broadway
Rear Bldg, FL 7
New York NY 10038
USA