Fillable Account Prole Update Form (TD Ameritrade)

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Account Prole Update Form (TD Ameritrade)

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TDA 7010 F 04/19
Page 1 of 5
PO Box 2760
Omaha, NE 68103-2760
Fax: 866-468-6268
*TDA7010*
Account Profile Update Form
ACCOUNT INFORMATION (please use a separate form for each owner)
Account Number (required):
Name Prefix (optional): M Mr. M Mrs. M Ms. M Dr. M Rev.
Full Legal Name/Account Title (required):
Home Address:
(no PO Box or Mail Drop)
City: State: ZIP Code: Country:
Mailing Address:
(if dierent from Home Address)
City: State: ZIP Code: Country:
Primary Phone: M Check here if this is not a U.S. phone number
Marital Status:
M Single M Married M Divorced M Widowed
Primary Email Address: Number of dependents:
Employment Status:
M Employed M Homemaker M Retired M Self-Employed M Student M Unemployed
Employer Name:
(if self-employed, provide the name of your business and industry)
Please choose from the list provided on page 5 the occupation code and industry of occupation code that most accurately describes your situation.
Occupation Code: Industry of Occupation Code:
Employer Street Address:
City: State: ZIP Code: Country:
AFFILIATIONS
Are you, your spouse, any member of their immediate families including parents, in-laws, siblings, and dependents a director, 10% shareholder, or policy-making
ocer of a publicly traded company? M Yes M No
If yes, provide the company name or ticker symbol and address (including city, state, and ZIP code):
Are you, your spouse, any member of their immediate families including parents, in-laws, siblings, and dependents licensed, employed by, or associated with, a
broker-dealer firm, a financial services regulator, securities exchange, or member of a securities exchange? M Yes M No
If yes, provide the business name and address (including city, state, and ZIP code) if dierent from employer address above:
OTHER PARTIES
Important: Please contact us with any updates to information for Authorized Agents/Control Person/Beneficial Owner(s).
• Secure email: Log in to your account and click “Client Services,” then “Message Center,” then “Compose,” to write us.
• Phone: Call a Client Services representative at 800-669-3900. We’re available 24 hours a day, seven days a week.
Save time and update online. For your convenience, most information can be updated online. Log in to your account and then click
“My Profile,” then click “Personal Information” or “Investor Profile,” and make updates.
Please write your account number (required) and updates in the fields below. Once you’ve finished adding updates, please sign the form, then
return it by fax or mail. Fax: -- Mail to: TD Ameritrade, PO Box , Omaha, NE -
Reset Form
TDA 7010 F 04/19
Page 2 of 5
INVESTMENT OBJECTIVES
Select the degree of risk you are willing to take with the assets in this account:
M Conservative M Moderate M Aggressive M Speculative
Select the primary investment objective for the account:
M Conservation M Moderate M Moderate Growth M Growth M Aggressive growth
Select the secondary investment objectives for the account:
(Check at least one or all that apply.)
M Conservation M Moderate M Moderate Growth M Growth M Aggressive growth
Select your liquidity needs for this account:
(Check only one that applies.)
M Within 3 months M 4 - 6 months M 7 - 9 months M 10 - 12 months M More than 1 year
Select the investment time horizon for this account:
M Less than 1 year M 1 - 3 years M 4 - 6 years M 7 - 9 years M 10 - 12 years M 13 years or more
FINANCIAL INFORMATION
Important: Updates to financial information may result in a change to the level of options trading approved, if your account is presently approved for
options trading.
Annual income:
M $0 - 24,999 M $25,000 - 49,999 M $50,000 - 99,999 M $100,000 - 249,999 M $250,000+
Approximate net worth M $0 - 14,999 M $15,000 - 49,999 M $50,000 - 99,999 M $100,000 - 249,999
(not including primary residence): M $250,000 - 499,999 M $500,000 - 999,999 M $1,000,000 - 1,999,999 M $2,000,000+
Approximate liquid net worth M $0 - 14,999 M $15,000 - 49,999 M $50,000 - 99,999 M $100,000 - 249,999
(cash, stocks, etc.): M $250,000 - 499,999 M $500,000 - 999,999 M $1,000,000 - 1,999,999 M $2,000,000+
What best describes the initial M Employment/Wages M Retirement Funds M Gift M Savings
source of funds for this account? M Inheritance/Trust M Investments M Unemployment/Disability M Legal Settlement
M Lottery/Gaming M Spousal/Parental Support M Other (describe source of funds): ______________________________
What best describes the ongoing M Employment/Wages M Retirement Funds M Gift M Savings
source of funds for this account? M Inheritance/Trust M Investments M Unemployment/Disability M Legal Settlement
M Lottery/Gaming M Spousal/Parental Support M Other (describe source of funds): ______________________________
INVESTMENT INFORMATION
Select the investments you hold that are not in a TD Ameritrade account: M Stocks M Bonds M Options M Mutual Funds / ETFs M Futures / Forex
(Check all that apply.) M Cash alternatives M None M Real estate M Annuities M Alternative investments M Others
Select your federal tax rate:
M 10% M 15% M 25% M 28% M 33% M 35% M U.S. taxes do not apply
Select your years of investment experience for each investment type:
Stocks Bonds Options Cash alternatives Futures / Forex Mutual Funds / ETFs Real estate Annuities Alternative investments
1 - 5 years M M M M M M M M M
More than 5 years M M M M M M M M M
None M M M M M M M M M
OPTIONS OBJECTIVES (only applicable if your account is presently approved for options trading)
Select years of investment experience:
M Less than 1 year M 1 - 2 years M 3 - 5 years M 6 - 9 years M 10 years or more
Select your investment knowledge:
M Limited M Good M Extensive M Professional
Select the type of transactions in your options account:
(Check all that apply.) M Bonds M Options M Stocks
Select your investment objectives for trading options:
(Check all that apply.) M Growth M Speculative M Income M Conservation of capital
Select the type of activity you conduct in your options account:
(Check all that apply.)
M Tier 1 - Covered: Write Covered Calls, Write Cash Secured Puts
M Tier 2 - Standard Cash: Purchase Options, Write Covered Calls, Write Cash-Secured Puts
M Tier 2 - Standard Margin: Create Spreads, Purchase Options, Write Covered Puts, Write Covered Calls. Requires Margin Account.
M Tier 3 - Advanced: Write Uncovered Options, Create Spreads, Purchase Options, Write Covered Puts. Requires Margin Account.
Important: Updates to options information are not considered an application for options trading and may result in a change to the level of options
trading approved.
Options involve risks and are not suitable for all investors.
TD Ameritrade Account Number (required): ___________________________________
TDA 7010 F 04/19
Page 3 of 5
TRUSTED CONTACT (Optional)
By completing this section, you authorize TD Ameritrade to contact the person(s) named below for the following reasons: if there are questions
or concerns about my whereabouts or health status; if TD Ameritrade suspects that I may be a victim of fraud or financial exploitation; if
TD Ameritrade suspects that I might no longer be able to handle my financial aairs; to confirm the identity of any legal guardian, executor,
trustee, authorized trader, or holder of a power of attorney; or if TD Ameritrade has any other concerns or is unable to contact me about my
account(s) held at TD Ameritrade. Please review the Client Agreement for the full terms and conditions regarding how TD Ameritrade
uses this information.
NOTE: Your Trusted Contact must be someone other than an account owner. You may provide more than two Trusted Contact Persons
by completing and signing additional Authorization Forms.
First Name:
|
Middle Initial:
|
Last Name:
Relationship:
Primary Telephone Number:
|
Email Address:
Mailing Address:
City:
|
State:
|
ZIP Code:
First Name:
|
Middle Initial:
|
Last Name:
Relationship:
Primary Telephone Number:
|
Email Address:
Mailing Address:
City:
|
State:
|
ZIP Code:
SIGNATURE
Only the Account Owner who is providing information to update their account profile must sign this form.
I acknowledge that I have provided information to update only my account profile.
Account Owner’s or Co-Owner’s signature:
Date:
Account Owner’s or Co-Owner’s printed name:
Original Signatures required; electronic signatures and/or signature fonts are not authorized.
TD Ameritrade Account Number (required): ___________________________________
✗
Investment Products: Not FDIC Insured * No Bank Guarantee * May Lose Value
TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and
The Toronto-Dominion Bank. ©  TD Ameritrade.
TDA 7010 F 04/19
Page 4 of 5
INVESTMENT OBJECTIVES DEFINITIONS
Conservation:
Reects your desire to seek very low risk and minimize potential loss of principal. You may seek income from your investments while
understanding that returns may not keep pace with ination. You may also intend to invest over a short period of time.
Moderate:
Reects your desire to seek lower risk and less uctuation in your portfolio, while striving to achieve more stable returns or income from your
investments. You may also intend to invest over a short period of time.
Moderate Growth:
Reects your desire to seek growth in your portfolio by typically using a balance of growth and conservative investment types.
It may also mean that you are moderately tolerant of risk and plan to invest for a medium to long period of time.
Growth:
Reects your desire to seek the potential for investment growth, as well as your tolerance for more signicant market uctuations and risk of loss.
It may also mean that you plan to invest over a long period of time.
Aggressive Growth:
Reects your desire for potentially substantial investment growth, as well as your tolerance for large market uctuations and increased risk of
loss. It may also mean that you plan to invest over a long period of time.
OPTIONS OBJECTIVES DEFINITIONS
Growth:
Investors are seeking the potential for investment growth and have a tolerance for more signicant market uctuations and risk of loss.
Speculative:
Investors are seeking short-term market gains that generally have above average, maximum risk, but oer the potential for short-term, maximum
gains. These strategies also have the potential for signicant losses and investors understand they could lose most, or all, of the money they
have invested.
Income:
Investors are seeking income with a modest degree of risk. These investors are typically willing to accept lower potential returns in exchange for
lower risk and volatility, and understand their returns may not keep pace with ination.
Conservation of Capital:
Investors are seeking to avoid risk and minimize potential loss of principal.
TDA 7010 F 04/19
Page 5 of 5
A11 Accounting
A21 Advertising/Marketing
A31 Aerospace/Defense
A41 Agriculture/Forestry
A51 Amusement and Recreation
A61 Animal Services and Veterinary
A71 Architecture/Design
A81 Arts/Antiques
A91 Athletics/Fitness
A32 Automotive
B11 Aviation
C11 Bar/Nightclub/Adult Entertainment Club
C21 Childcare
C31 Cleaning/Janitorial/Housekeeping
C41 Communications/Telecommunications
C51 Construction/Carpentry/Landscaping
C61 Convenience Store/Liquor Store/
Gas Station
C71 Customer Service and Support
E11 Education
E21 Embassy/Consulate
E31 Energy
E41 Engineering
F11 Fashion/Clothing
F21 Financial Services
F51 Firearms and Explosives
G11 Gaming/Casino/Card Club
G21 Government/Public Administration
G31 Grocery/Supermarket
H11 Healthcare/Medical Services
H21 Hotel/Hospitality
I11 Import/Export
I21 Information Technology (IT)
I31 Insurance
J11 Jewelry, Gems, and Precious Metals
L11 Legal Services/Public Safety
L21 Logistics/Supply Chain
M11 Manufacturing
M21 Maritime
M31 Media/Entertainment
M41 Mining, Oil, and Gas
M51 Money Services Businesses (Check
Cashing, Money Transmitting, Payday
Loans, Currency Exchange)
N11 Non-Profit/NGO (Non-Government
Agency)/Charity
O31 Other; If Other, include a description
in the Industry of Occupation box
P11 Parking and Car Washes
P21 Pawn Shops/Brokers
P31 Personal Care/Hygiene (Beauty,
Salon, Cosmetics, Massage, etc.)
P41 Pharmaceuticals
P51 Printing/Publishing
P71 Professional/Civic Organizations
(Non-Retail)
R11 Real Estate
R21 Religious Organization
R31 Repair Services - Home, Auto,
and Other
R41 Restaurant/Food Service
R51 Retail Sales/Retail Trade
S11 Science and Biotechnology
S21 Security
T11 Transportation
T31 Travel
U11 Utilities (Public)
W11 Wholesale Sales/Trade
Industry of Occupation Codes
A42 Accountant/Auditor/Bookkeeper
A62 Adjuster
A82 Advertiser/Marketer/PR Professional
A33 Air Trac Controller
A43 Ambassador/Consulate Professional
A53 Analyst
A63 Appraiser
A73 Architect/Designer
A83 Artist/Performer/Actor/Dancer
A93 Assistant/Executive Assistant
A44 Athlete
A64 Attorney/Judge/Legal Professional
A74 Auctioneer
L51 Banker/Lending Professional
B21 Barber/Beautician/Hairstylist
B31 Broker/Registered Rep
B41 Business Executive (VP, Director, etc.)
B51 Business Owner
C81 Caregiver
C91 Carpenter/Construction Worker/
Contractor
C22 Cashier
C32 Chef/Cook
C42 Chiropractor
C52 Civil Servant
C62 Clergy
C72 Clerk
C82 Compliance/Regulatory Professional
C92 Consultant
C43 Counselor/Therapist
C53 Customer Service Representative
D11 Dealer
D61 Dentist
D31 Distributor
D41 Doctor/Surgeon/Physician
D51 Driver
E51 Engineer
E71 Exterminator
F71 Factory/Warehouse Worker
F81 Farmer/Rancher
F91 Financial Planner/Advisor
F22 Flight Attendant
F32 Human Resources Professional
I41 Importer/Exporter
I51 Inspector/Investigator
I81 Investor
I91 IT Professional/IT Associate
J31 Janitor
J41 Jeweler
L31 Laborer
L41 Landscaper
M91 Mechanic
M22 Military, Ocer or Associated
M32 Mortician/Funeral Director
N21 Nurse
O11 Oce Associate
O21 Other; If Other, include a description
in the Occupation box.
P81 Pharmacist
P91 Physical Therapist
P22 Pilot
P32 Police Ocer/Firefighter/
Law Enforcement Professional
P42 Politician
P52 Project Manager
R81 Real Estate Professional
R71 Researcher
S41 Salesperson
S51 Scientist
S61 Seamstress/Tailor
S71 Security Guard
S81 Social Worker
T41 Teacher/Professor
T51 Technician
T61 Teller
T71 Tradesperson/Craftsperson
T81 Trainer/Instructor
U21 Underwriter
V11 Veterinarian
W21 Writer/Journalist/Editor
Occupation Codes
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Account Prole Update Form (TD Ameritrade)

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Completed 6 January 2021

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