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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 STE 915
NEW YORK NY 10038

Account Types:

Corporate Account:


Mandatory forms required to open account:
  1. Corporate Account Certification

  2. Account Application & Agreement

  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. Account Application Supplemental Form

  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 in order to open a new individual account, and transfer assets to it from the custodial.

Mandatory Forms & Documents to submit:
  1. Individual Account Application & Agreement
    To be completed by the former minor who is now over 18 or 21 years of age (depending on state of residence).

  2. A Photocopy or Image of the Driver's License, Non-Driver Government ID, or Birth Certificate.

  3. Letter of Authorization-Internal Transfer
    The delivering account is the custodial. The receiving account shall be the new individual account (account number will be assigned). Indicate a total transfer in step 2.
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 (or administrator) 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 the estate administrator:
  1. Court Appointment, also known as Letters Testamentary (a photocopy will suffice), dated within 90 days of issuance.

  2. Death Certificate (a photocopy will suffice)

  3. Letter of Authorization- Internal Transfer This form instructs the transfer of account contents from the deceased's account to the new Estate account.

  4. W-9 form Reference the new tax id number (EIN) for the estate of the deceased on this form. If necessary, submit Form SS-4 to the IRS to apply for an EIN.

  5. Photocopy of the letter from the IRS confirming issuance of the estate's tax id number. (This is the letter issued by IRS after they approve "Form SS-4" application for a new tax id number.)

  6. Account Application & Agreement Be sure to reference the tax id # of the estate in step 2. In step 3, reference the personal information of the associated person (i.e. executor, administrator, etc) handling the estate.
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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Joint to Individual Conversion:


If either owner of a joint accounts passes away, the surviving joint owner will need to submit the below documents. This will open a new individual account. Account assets will then be transferred from the joint to the new individual account.

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

  2. Individual Account Application & Agreement

  3. Letter of Authorization- Internal Transfer 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. Account Application & Agreement

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

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

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

  6. Account Application Supplemental Form

  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. Account Application & Agreement

  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. Account Application Supplemental Form

  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. Account Application & Agreement

  2. Photocopy of the death certificate

  3. Letter of Authorization-Internal Transfer (This form instructs the transfer of assets from the TOD account to the new individual account of the beneficiary)
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. This is the letter issued by the IRS after approving your "Form SS-4" application for new tax id number. Submit only if Trust uses a separate tax id number instead of your social security number.

  4. Account Application & Agreement

  5. Account Application Supplemental Form (if there are more than 1 trustee)
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: Letter of Authorization- Internal Transfer

  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 trust has a new social security number or new tax id number (EIN), a new account will need to be opened. In addition to the above, please also submit the following forms:


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: Letter of Authorization- Internal Transfer

  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 STE 915
NEW YORK NY 10038
© 2023 York Securities, Inc. All Rights Reserved. York Securities, Inc, member FINRA / SIPC. Accounts custodied with the clearing firm, Axos Clearing, LLC, member FINRA / SIPC. (Axos Clearing is a wholly owned subsidiary of Axos Financial, Inc.) Additional account protection ("Excess SIPC") provided through a group underwriters led by Lloyds. Response times for system performance and account access may vary due to multiple factors including market conditions, trading volumes, system performance, and other possibilities. Options involve risk and are not suitable for all investors.
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