Account Application Kit
Forms may be used to open an Individual Account, Joint Account, Custodial Account, or Trust Account. (Kit includes Customer Agreement/Disclosure of Credit Terms).
Margin Agreement/Disclosure of Credit Terms
Your firm may need a signed copy of this agreement for its margin accounts. If you have not yet signed and returned this agreement, sign and return it.
Account Transfer Form
Transfer your account from another brokerage firm, bank, or mutual fund. If you do not have an account at your firm with the same name as the account you are transferring, please apply online or request an application.
Corporate Resolution
This form is used when sending physical certificates to be deposited and must be signed by the corporation's secretary and be notarized.
Affidavit of Domicile
This form is used when turning securities when the registered holder is deceased.
Select Link/Combined Statement Mailing Form
This form is used to consolidate statement mailings to one address and add an optional summary page.
P.O. Box Authorization Form
This form must be completed to authorize your broker/dealer to send mail to a post office box.
Pershing ACH Credit Authorization Agreement Form
To debit clients' brokerage accounts and credit the financial institution; also, used for IRA distributions.
Pershing ACH Debit Authorization Agreement Form
To debit financial institutions and credit the clients' brokerage accounts; also, to establish periodic retail collections or contributions to an IRA.
Authorization for Investment in a Private Placement or Subscription Investment Form
Pershing's retirement department must review each new private placement, prior to holding the position on our books. This form identifies several standard pieces of information critical in the review process.
401k Enrollment/Investment Selection Form
Form used by employer to communicate to the record keeper the investment options used by the plan.
Trading Authorization Limited to Purchases and Sales of Securities and Commodities
Agreement authorizing a broker to act on behalf of the client with regards to the purchase and sale of stocks, bonds and any other securities.
Pershing Government Account
Retirement Money fund prospectus.
Certificate of Corporate Secretary
Form that identifies individual or individuals authorized to act on behalf of the corporation.
401(k) Plan Third Party Administration and Investment Option Selection Form
Simple IRA Plan
Simple Adoption Agreement
Pershing Community Property
Form required by some states establishing that acquired assets be owned by "husband and wife as community ijkn jproperty".
403(b)(7) Custodial Account Agreement
Lists employees under the 403 plan.
Investment Club Account Agreement
Form which customer uses to list all investment club members and in what capacity they can authorize trading, cutting checks, etc.
Simple IRA Adoption Agreement and Plan Documentation
Simple SEP adoption forms and description of plan type.
Interested Party Form
Form can be used by an Interested Party to group accounts into one combined mail package.
The Pershing Press Subscription Form
Subscribe to The Pershing Press - a free, quarterly newsletter featuring Pershing's current initiatives such as new products, services, policies, and procedures, plus sales insight and opportunities to help you build your business.
If you would like to learn more about opening an account or have any questions, please call us at 212-652-3290.
Securities are offered by Matrix Capital Group, member FINRA. Matrix Capital Group is independent of any financial institution. Securities (1) are not bank deposits; (2) are not insured or guaranteed by the FDIC or any other government agency; (3) are not obligations of, or guaranteed by, any financial institution; and (4) involve investment risks, including the potential for fluctuations in investment return and the potential loss of principal. Matrix intends the information contained herein to be accurate and reliable; however, market volatility or system failures may occur. Therefore, Matrix disclaims any warranty of any kind, whether express or implied, as to any matter whatsoever relating to this information, including, without limitation, the implied warranties of merchantability, fitness for a particular purpose, and noninfringement.
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