Specialized New Account Applications...
Corporate Account
To open a Corporate Account, the following forms are Mandatory…
1. Corporate Account Application {PDF,120KB}
2. New Account Application {PDF,43KB}
3. Authorized Member/Partner form{PDF,41KB}
4. Sole Officer Form{PDF,32KB} (submit only if this corporation has one officer)
What else can I do?
1. Trade Options: Options Agreement {PDF,719KB}
2. Trade or borrow money through a Margin Account: Margin Agreement {PDF,122KB}
3. Transfer assets or an account from another firm: Account Transfer Form {PDF,15KB}
Need another form?
All other forms are available at the Forms page.
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Mail all completed forms to:
York Securities
160 BROADWAY, FL 7E
NEW YORK, NY 10038
The forms on this website were published in Adobe Acrobat 8.0 (PDF) format, which allows the user to complete the form on the screen before printing.
If you wish to access the PDF files but do not have Acrobat Reader 8.0 or higher installed on your system, you can DOWNLOAD this free software from Adobe Systems.
Estate Account
General Client Instructions...
RE: ESTATE OF John Doe.- TAXABLE BROKERAGE ACCOUNT AT YORK SECURITIES, INC
Mandatory documentation needed to be furnished by Executor/trix:
Affidavit of Domicile
Court Appointment, also known as Letters Testamentary (a photocopy will suffice)
Death Certificate (a photocopy will suffice)
Signed and notarized letter of instruction (LOA) to transfer assets from deceased’s account to the new ‘Estate of’ account.
W-9 form referencing new tax id number for the estate of the deceased (obtain from the Social Security Administration or the IRS)
Executor information form (Industry regulations now require us to identify estate executors).
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...
- Online
Service Agreement & Signature Form (submit only if you plan to access the estate account online)
- Margin Agreement (submit only if the deceased's account has a margin debit balance)
- Options Agreement (submit only if the deceased's account contains put or call option contracts)
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Mail all completed forms to:
York Securities
160 BROADWAY, FL 7E
NEW YORK, NY 10038
The forms on this website were published in Adobe Acrobat 8.0 (PDF) format, which allows the user to complete the form on the screen before printing.
If you wish to access the PDF files but do not have Acrobat Reader 8.0 or higher installed on your system, you can DOWNLOAD this free software from Adobe Systems.
LLC Account
To open a LLC Account, the following forms are Mandatory…
1. LLC Agreement {PDF,84KB}
2. New Account Application {PDF,43KB}
3. A photocopy of the LLC's Articles of Organization.
4. Authorized Member/Partner form{PDF,41KB}
5. W-9 (Request For Taxpayer Identification Number and Certification) {PDF, 71KB}
What else can I do?
1. Trade Options: Options Agreement {PDF,719KB}
2. Trade or borrow money through a Margin Account: Margin Agreement {PDF,122KB}
3. Transfer assets or an account from another firm: Account Transfer Form {PDF,15KB}
Need another form?
All other forms are available at the Forms page.
- - - - - - - - - - - - - - - - - -
Mail all completed forms to:
York Securities
160 BROADWAY, FL 7E
NEW YORK, NY 10038
The forms on this website were published in Adobe Acrobat 8.0 (PDF) format, which allows the user to complete the form on the screen before printing.
If you wish to access the PDF files but do not have Acrobat Reader 8.0 or higher installed on your system, you can DOWNLOAD this free software from Adobe Systems.
Partnership or Investment Club Account
To open a Partnership Account, the following forms are Mandatory…
Partnership/Investment Club Account Application {PDF,84KB}
New Account Application {PDF,43KB}
Authorized Member/Partner form{PDF,41KB}
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.
What else can I do?
1. Trade Options: Options Agreement {PDF,719KB}
2. Trade or borrow money through a Margin Account: Margin Agreement {PDF,122KB}
3. Transfer assets or an account from another firm: Account Transfer Form {PDF,15KB}
Need another form?
All other forms are available at the Forms page.
- - - - - - - - - - - - - - - - - -
Mail all completed forms to:
York Securities
160 BROADWAY, FL 7E
NEW YORK, NY 10038
The forms on this website were published in Adobe Acrobat 8.0 (PDF) format, which allows the user to complete the form on the screen before printing.
If you wish to access the PDF files but do not have Acrobat Reader 8.0 or higher installed on your system, you can DOWNLOAD this free software from Adobe Systems.
Trust Account
To open a Trust Account, the following forms are Mandatory…
1. Trustee Certificate of Investment Powers {PDF,52KB}
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 {PDF,43KB}
4. Authorized Member/Trustee form{PDF,41KB}
What else can I do?
1. Trade Options: Options Agreement {PDF,719KB}
2. Trade or borrow money through a Margin Account: Margin Agreement {PDF,122KB}
3. Transfer assets or an account from another firm: Account Transfer Form {PDF,15KB}
Need another form?
All other forms are available at the Forms page.
- - - - - - - - - - - - - - - - - -
Mail all completed forms to:
York Securities
160 BROADWAY, FL 7E
NEW YORK, NY 10038
The forms on this website were published in Adobe Acrobat 8.0 (PDF) format, which allows the user to complete the form on the screen before printing.
If you wish to access the PDF files but do not have Acrobat Reader 8.0 or higher installed on your system, you can DOWNLOAD this free software from Adobe Systems.
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