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 Specialized New Account Applications


Link to Adobe site Below forms published with Adobe Acrobat (PDF). If necessary, download Adobe Acrobat Reader free from Adobe Systems.

Mail completed documents to:
YORK SECURITIES
160 BROADWAY
EAST BLDG FL 7
NEW YORK, NY 10038

Account Types:

Corporate Account:


Mandatory forms required to open account:
  1. Corporate Resolution

  2. New Account Application

  3. Photocopy of the articles of incorporation executed by the state office responsible for registering corporations in that state.

  4. Photocopy of IRS letter confirming issuance of the corporation's tax id number. Letter issued by IRS after they approve "Form SS-4" application for new tax id number.

  5. Authorized Member Information Form (Required personal information for each participant authorized to conduct business in the account, to comply with US Patriot Act requirements).

  6. FinCen Attestation Form
    Required by the US Dept of Treasury Financial Crimes Enforcement Network (FinCEN) to be completed by control persons and 25% owners of selected entities.
Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement

  3. Transfer assets or an account from another firm: Account Transfer Form
Need another form? All other forms are available at the Forms page.

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Custodial (UGMA/UTMA for a minor) to Individual Account Conversion:


Complete & mail below forms to change account registration from custodial to individual.

Mandatory Forms & Documents to submit:
  1. A letter of resignation from the custodian

  2. New Account Application
    To be completed by the former minor who is now an adult. The information from this completed form will be used to update your account profile. Your account number will remain the same.
Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement

  3. Transfer assets or an account from another firm: Account Transfer Form
Need another form? All other forms are available at the Forms page.

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Estate Account (Individual):


If the owner of an individual account has passed away, the executor of the estate will need to submit the forms & follow the instructions below. This will open an estate account, so that a transfer of assets can be made from the deceased's account.

Mandatory documentation to be furnished by Executor/trix or surviving joint owner:
  1. Affidavit of Domicile

  2. Court Appointment, also known as Letters Testamentary (a photocopy will suffice), dated within 60 days of issuance.

  3. Death Certificate (a photocopy will suffice)

  4. Asset Movement Authorization Form This form instructs the transfer of account contents from the deceased's account to the new Estate account.

  5. W-9 form referencing new tax id number for the estate of the deceased (obtain tax id from the Social Security Administration or the IRS)

  6. Photocopy of the letter from the IRS or Social Security Administration, confirming issuance of the estate's tax id number.

  7. Executor information form (Industry regulations now require us to identify estate executors).

  8. 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 Forms:
  1. Options Agreement (submit only if the deceased's account contains put or call option contracts)

  2. Margin Agreement & Disclosure Statement (submit only if the deceased's account contains a margin debit balance)
Need another form? All other forms are available at the Forms page.

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Investment Club:


Mandatory forms required to open account:
  1. Investment Club Account Application

  2. New Account Application

  3. Photocopy of your Investment Club Agreement. (This document shows the details of your establishment, bylaws, ownership structure, etc).

  4. Photocopy of IRS letter confirming issuance of the entity's tax id number. Letter issued by IRS after approving "Form SS-4" application for new tax id number.

  5. Member Information Form (required personal information for each participant to comply with US Patriot Act requirements).

  6. FinCen Attestation Form
    Required by US Dept of Treasury Financial Crimes Enforcement Network (FinCEN) to be completed by control persons and 25% owners of selected entities.
Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement

  3. Transfer assets or an account from another firm: Account Transfer Form
Need another form? All other forms are available at the Forms page.

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Joint to Individual Conversion:


Be sure to follow the appropriate instuctions (choice A or B) below depending on whether the primary owner or joint owner in the account has passed away.

Scenerio A. Joint Owner has passed away: If the joint owner of a joint account has passed away, the surviving primary owner will need to submit the below documents. This will change the account title/designation from that of Joint to Individual. (The account number will remain the same).

Mandatory Documentation & Forms required for submission:
  1. Death Certificate (a photocopy will suffice)

  2. New Account Application

  3. Signed letter, stating to the effect, that the joint (secondary) owner has passed away, and the account is to be converted from Joint to Individual status.
- OR -

Scenerio B. Primary Owner has passed away: If the primary owner of a joint account has passed away, the surviving joint owner will need to submit the below documents. This will open a new individual account, with assets then being transferred from the joint to the new individual account.

Mandatory Documentation & Forms to be submitted:
  1. Death Certificate (a photocopy will suffice)

  2. New Account Application

  3. Asset Movement Authorization Form Instructs the transfer of account contents from joint account to the new individual account.
Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement
Need another form? All other forms are available at the Forms page.

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Limited Liability Company (LLC) Account:


Mandatory forms and documents required to open account:
  1. LLC Resolution Certification

  2. New Account Application

  3. A photocopy of the LLC's Articles of Organization.

  4. Photocopy of IRS letter confirming issuance of the LLC's tax id number. Letter issued by IRS after approving "Form SS-4" application for new tax id number.

  5. W-9 (Request For Taxpayer Identification Number and Certification)

  6. Authorized Member/Partner form (required individual information for each participant)

  7. FinCen Attestation Form
    Required by US Dept of Treasury Financial Crimes Enforcement Network (FinCEN) to be completed by control persons and 25% owners of selected entities.
Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement

  3. Transfer assets or an account from another firm: Account Transfer Form
Need another form? All other forms are available at the Forms page.

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Partnership Account:


Mandatory forms and documents required to open account:
  1. Partnership Account Application

  2. New Account Application

  3. Photocopy of your Partnership Agreement. (This document shows the details of your establishment, bylaws, ownership structure, etc).

  4. Photocopy of IRS letter confirming issuance of the entity's tax id number. Letter issued by IRS after approving "Form SS-4" application for new tax id number.

  5. Authorized Member/Partner form (required individual information for each participant)

  6. FinCen Attestation Form
    Required by US Dept of Treasury Financial Crimes Enforcement Network (FinCEN) to be completed by control persons and 25% owners of selected entities.
Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement

  3. Transfer assets or an account from another firm: Account Transfer Form
Need another form? All other forms are available at the Forms page.

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Transfer on Death (TOD) Distribution Procedure by Beneficiary(s)


Mandatory forms and documents required to open account:
  1. New Account Application

  2. Photocopy of the death certificate

  3. Asset Transfer Authoriztion form
Optional Forms:
  1. Options Agreement
    Submit if the deceased's TOD account contained options contracts.

  2. Margin Agreement & Disclosure Statement
    Submit if the deceased's TOD account borrrowed money through a margin account.
Need another form? All other forms are available at the Forms page.

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Trust Account:


Mandatory forms and documents required to open account:
  1. Trustee Certificate of Investment Powers

  2. A photocopy your trust agreement.

  3. Photocopy of IRS letter confirming issuance of the trust's tax id number. (Submit only if Trust uses a separate tax id number instead of your social security number).

  4. New Account Application

  5. Additional Trustee information form (if applicable)
Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement

  3. Transfer assets from an existing York Securities account: Asset Transfer Request Form (non-IRA)

  4. Transfer assets or an account from another firm: Account Transfer Form
Need another form? All other forms are available at the Forms page.

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Trust Account: Modification, Dissolution, Etc.:


In order to update an account title, trustee, or beneficiary information, please submit the following forms:



If the social security number has changed, please submit the following form:

If the trust has a new tax id number for an entity, please submit the following:


For any other scenerio, please Contact Us.


Optional Forms:
  1. Trade Options: Options Agreement

  2. Trade or borrow money through a Margin Account: Margin Agreement & Disclosure Statement

  3. Transfer assets from an existing York Securities account: Asset Transfer Request Form (non-IRA)

  4. Transfer assets or an account from another firm: Account Transfer Form
Need another form? All other forms are available at the Forms page.

top of page




Link to Adobe site Above forms published with Adobe Acrobat (PDF). If necessary, download Adobe Acrobat Reader free from Adobe Systems.

Mail completed documents to:
YORK SECURITIES
160 BROADWAY
EAST BLDG FL 7
NEW YORK, NY 10038
 - York Securities, Inc. -