New Account Application Packets
1) Standard (Individual, Corporate, Joint and Trust)
Packets include one (1) Account Transfer form (a separate Account Transfer form is required for each account being transferred). All new account applications are required to submit a picture ID (i.e. a valid Driver's License or Passport), if not applicable, include any two of the following: SS Card, Medicare/Medicaid Card, Insurance Card, Utility Bill, Property Tax Bill or Voter Registration Card. Some specialty forms are not included. See "Individual Forms" below.
2) IRA (clicking this link will open a new screen with a Traditional IRA Application. If you need a different type, click one of the links below.)
Individual Forms
3) Standard New Account Application and Agreement
The standard form required to open any new account (except for IRA accounts).
4) IRA New Account Application
To set up a Standard IRA.
5) Account Transfer (ACAT) Form
To transfer an existing account from another brokerage firm to us.
6) Vision Account- (non-IRA)
To set up a free checking account and optional Visa Platinum check card.
7) Vision Account- (IRA)
To set up a free checking account.
8) Commission Disclosure Agreement
9) IRA Distribution Request Form
To request withdrawals from your IRA account.
10) Broker Dealer Referral Disclosure Statement
11) Letter of Authorization
12) Online Account Access Forms
To request the ability to trade on-line, and to access and link multiple accounts.
13) Roth IRA New Account Application and Agreement
To set up Roth IRA account.
14) SEP IRA Account Application and Agreement
To set up a SEP IRA account.
15) SIMPLE Account Application and Agreement
To set up a SIMPLE IRA account.
16) IRA Change of Beneficiary Form
To change the beneficiary on your IRA.
17) IRA Rollover Certification Form
To deposit an existing IRA or employer-sponsored retirement plan to your Puritan account.
18) ACH (Automated Clearing House) Form
To allow electronic wiring of funds between Puritan Brokerage and your bank, free of charge.
19) Coverdell Education Savings Account Form
To set up an account where investments for a child's education can grow tax-free.
20) Margin Disclosure Statement
Required reading for all margin accounts.
21) Rule 144 Seller Letter
22) 144K
23) Account Update Form
Notifies Puritan Brokerage of any account updates.
24) Characteristics and Risks of Standard Options Document
Required reading for all Option accounts.
25) Corporate Account Resolution
Required reading for all Corporate accounts.
26) Irrevocable Stock or Bond Power Form
27) General Partnership Account Agreement
28) Letter of Authorization-Internal
To authorize Southwest Securities to move monies and/or securities from one internal account to another.
29) Limited Partnership Account Agreement
30) Power of Attorney Information
To give trading authority to another person.
31) Sole Proprietor Form
Certification required for all Sole Proprietorship accounts.
32) Trading Authorization Form
To authorize someone other than yourself to trade your account.
33) Transfer on Death Addendum
34) Trustee Certification Form
This form, or a copy of the trust, is required for all Trust accounts.
35) Wire Request
To request that money be wired out of your Puritan Brokerage account.
36) W-8 Forms - BEN, ECI, and EXP
Required tax form for non-resident applicants
37) W-9 Form
Taxpayer Identification Certification.
38) Worthless Stock Form