Fillable BROKERAGE TRUST APPLICATION

Fill Online, Printable, Fillable, Blank BROKERAGE TRUST APPLICATION Form

Use Fill to complete blank online OTHERS pdf forms for free. Once completed you can sign your fillable form or send for signing. All forms are printable and downloadable.

BROKERAGE TRUST APPLICATION

On average this form takes 97 minutes to complete

The BROKERAGE TRUST APPLICATION form is 18 pages long and contains:

  • 0 signatures
  • 28 check-boxes
  • 375 other fields

Country of origin: OTHERS
File type: PDF

BROWSE OTHERS FORMS

Related forms
Fill has a huge library of thousands of forms all set up to be filled in easily and signed.
Fill in your chosen form
Sign the form using our drawing tool
Send to someone else to fill in and sign.
find another form
 
BROKERAGE TRUST APPLICATION
COMPLETE YOUR E*TRADE APPLICATION IN THREE EASY STEPS
The Brokerage Trust Application you requested begins on the following page.
To complete your application, simply:
1. SCROLL DOWN AND FILL OUT EACH FIELD BY TYPING IN THE
APPROPRIATE INFORMATION.
IF YOU’D LIKE TO COMPLETE THE APPLICATION BY HAND, SKIP THIS
STEP AND MOVE ON TO STEP 2.
2. ONCE YOU HAVE PROVIDED THE REQUESTED INFORMATION,
REVIEW YOUR APPLICATION TO ENSURE IT IS COMPLETE AND
PRINT IT.
3. SIGN AND DATE YOUR APPLICATION. SUBMIT IT ONE OF THE
FOLLOWING WAYS:
By overnight mail:
E*TRADE Securities LLC
Harborside 2
200 Hudson Street, Suite 501
Jersey City, NJ 07311
By regular mail:
E*TRADE Securities LLC
P.O. Box 484
Jersey City, NJ 07303-0484
Upload to Existing Account
Fax: 866-650-0003
International Fax: +1 678 624 6950
Note: Please include a Fax Cover Sheet when submitting documents by facsimile. Notarized, certied or original documents cannot
be submitted by facsimile and should be mailed.
BROKERAGE TRUST APPLICATION
Page 1 of 13
0122-TRUSTAPP-B66961
•
•
•
•
•
*** YOUR APPLICATION MAY REQUIRE ADDITIONAL DOCUMENTS ***
Please submit the required documents from the chart below
Type of account
you are applying for Required documents (documents will not be returned)
Trust reporting under grantor’s SSN
(Trustee is grantor)
Completed application
Trust
reporting under grantor’s SSN
(Trustee is NOT grantor)
Completed application with signature of grantor in Section 8
Trust Agreement
Trust reporting under EIN
Completed application
IRS 147C letter assigning EIN to Trust
Identifying Documents
If we are unable to verify your entity, then the identifying documents below will be requested:
• A copy of IRS Letter 147C validating your entity’s tax ID number. Submitting this form with your application will expedite the
opening of your account. You can obtain this letter by contacting the IRS’s Business and Specialty T
ax Line at 800-829-4933.
• Additional identifying documentation (e.g., driver’s license, Social Security card, utility bill) may be requested to verify your identity.
BROKERAGE TRUST APPLICATION
Page 2 of 13
0122-TRUSTAPP-B66961
BROKERAGE TRUST APPLICATION
IMPORTANT INFORMATION ABOUT PROCEDURES FOR
OPENING A NEW ACCOUNT
To help the government ght the funding of terrorism and money
laundering activities, the USA PATRIOT ACT
requires all nancial
institutions to obtain, verify, and record information that identies
each person who opens an account.
What this means for you when you open an account: We
will ask for your name, address, date of birth, tax ID and other
information that will allow us to identify you. We may also ask to
see your driver’s license or other identifying documents. Please
provide all requested information. Missing, inaccurate, or
altered information may require a new application.
1. PROVIDE INFORMATION ABOUT TRUST (PLEASE PRINT)
Name of Trust (as it appears on the trust agreement)
Social Security Number or Tax ID Number Trust Formation Date (MM/DD/YYYY)
Grantor Name (If reporting under grantor’s SSN and grantor is NOT a trustee, grantor must sign Section 8)
Successor Trustee(s)
**Please see page 2 for required documentation needed for your selected account type above.
2. PROVIDE INFORMATION ABOUT TRUSTEES (PLEASE PRINT)
TRUSTEE (REQUIRED)
Mr. Mrs. Ms. Dr.
First Name Middle
Initial
Last Name
Social Security Number Date of Birth (mm/dd/yyyy)
Country
Code
Mobile Phone Country
Code
Home Phone
E-mail Address
Home Street Address (cannot be a P.O. box)
City State (U.S.only) U.S. Postal/ZIP Code
Mailing Address (if different from above, P.O. box may be used)
City State (U.S.only) U.S. Postal/ZIP Code
CO-TRUSTEE (IF APPLICABLE)
Mr. Mrs. Ms. Dr.
First Name Middle
Initial
Last Name
Social Security Number Date of Birth (mm/dd/yyyy)
Country
Code
Mobile Phone Country
Code
Home Phone
E-mail Address
Home Street Address (cannot be a P.O. box)
City State (U.S. only) U.S. Postal/ZIP Code
Mailing Address (if different from above, P.O. box may be used)
City State (U.S. only) U.S. Postal/ZIP Code
BROKERAGE TRUST APPLICATION
Page 3 of 13
0122-TRUSTAPP-B66961
2. PROVIDE INFORMATION ABOUT TRUSTEES (CONTINUED, PLEASE PRINT)
TRUSTEE (REQUIRED) CO-TRUSTEE (IF APPLICABLE)
______________________________
EMPLOYMENT (YES/NO QUESTIONS REQUIRE A RESPONSE REGARDLESS OF EMPLOYMENT STATUS)
Are you employed by a registered broker-dealer, a securities exchange, or the FINRA?
No Yes (if yes, you must submit a compliance letter with this application)
Are you an ofcer, 10% shareholder or policymaker of a publicly held company?
No Yes (specify companies)
Employment Status
Employed Self-employed* Retired Student Not Employed
Employer Specic Occupation
Line of Business* (this box must be lled in for Self-Employed Persons and Consultants)
Business Street Address (cannot be a P.O. box)
City State U.S. Postal/ZIP Code
Do you have accounts at other brokerage rms or mutual fund companies?
No Yes Full Commission Discount (traditional)
INFORMATION
Are you employed by a registered broker-dealer, a securities exchange, or the FINRA?
No Yes (if yes, you must submit a compliance letter with this application)
Are you an ofcer, 10% shareholder or policymaker of a publicly held company?
No Yes (specify companies)
Employment Status
Employed Self-employed* Retired Student Not Employed
Employer Specic Occupation
Line of Business* (this box must be lled in for Self-Employed Persons and Consultants)
Business Street Address
City State U.S. Postal/ZIP Code
Do you have accounts at other brokerage rms or mutual fund companies?
No Yes Full Commission Discount (traditional)
3. FUND YOUR ACCOUNT
Tell us how you’ll make your initial deposit. Check one or more of the following:
I have enclosed a check for $ made payable to E*TRADE Securities LLC.
My completed Account Transfer Form is attached.
I will transfer funds/securities from an existing account. (For more information, go to
etrade.com/newtransfer)
I plan to wire funds from another nancial institution. (For more information, go to
etrade.com/newtransfer)
4. PROVIDE BENEFICIAL OWNERSHIP INFORMATION (PLEASE PRINT)
(NOTE: A BENEFICIAL OWNER IS NOT THE SAME AS A BENEFICIARY.)
To ght the funding of terrorism and money laundering activities, federal law requires nancial institutions to obtain, verify, and record
information that identies each person. We may also utilize a third-party information provider for verication purposes and/or ask for
a copy of your driver’s license or other identifying documents. This form requires you to provide the name, address, date of birth, and
Social Security number (or passport number or other similar information in the case of foreign persons) for both of the following:
• Control person – An individual with signicant responsibility for managing the entity (e.g., a chief executive ofcer, chief nancial ofcer,
chief operating ofcer, managing member, general partner, president, vice president, or treasurer).
• Benecial owner – Each individual, if any, who owns, directly or indirectly, 10% or more of the equity interests (e.g., shares) of the
entity. An individual is an indirect benecial owner if their ownership interest is held through another entity. Note: Benecial owners are
different from beneciaries.
Is this application for a statutory trust created by a ling with a Secretary of State or similar ofce?
Yes. Please enter information below for the control person, and then answer the next question regarding benecial owners.
No. Please skip to the next section.
BROKERAGE TRUST APPLICATION
Page 4 of 13
0122-TRUSTAPP-B66961
4. PROVIDE BENEFICIAL OWNERSHIP INFORMATION (PLEASE PRINT)
(NOTE: A BENEFICIAL OWNER IS NOT THE SAME AS A BENEFICIARY.) (CONTINUED)
CONTROL PERSON
Mr. Mrs.
Ms.
Dr.
Name (rst, middle initial, last) Title
Date of Birth (mm/dd/yyyy) Residence Status
U.S. Citizen Resident Alien Neither U.S. Citizen nor Resident Alien
Social Security or Tax ID Number
Country of Citizenship
Physical Address
City State (U.S. only) U.S. Postal/Zip Code
Foreign Province/Region Name or Code Foreign Postal Code
Country
IF THE CONTROL PERSON IS NOT A U.S. CITIZEN OR RESIDENT ALIEN, PLEASE PROVIDE THE FOLLOWING INFORMATION.
Country of Issuance Government ID or Passport Passport ID / Government ID
Country of Legal Residence Passport ID / Government ID Expiration Date
Is there at least one individual who directly or indirectly owns 10% or more of this entity?
If there are one or more benecial owners who own, directly or indirectly, 10% or more of the equity interests of the legal entity, please
enter information below for each benecial owner. This does not apply to non-prot organizations. If you have more benecial owners
than the space below allows, please complete the Add Benecial Owners form and submit it alongside this application.
Yes, there is at least one benecial owner. Please indicate the benecial owner(s) below. If the individual is also identied as
the control person, please include their information here as well.
No, there is no benecial owner. Please skip to the next section.
BENEFICIAL OWNER 1
Mr. Mrs.
Ms.
Dr.
Name (rst, middle initial, last)
Date of Birth (mm/dd/yyyy)
U.S. Citizen
Resident Alien
Neither
Country of Citizenship
Social Security or Tax ID Number Percentage of Ownership
Permanent Address
City State (U.S. only) U.S. Postal/Zip Code
Foreign Province/Region Name or Code Foreign Postal Code
Country
IF THE BENEFICIAL OWNER IS NOT A U.S. CITIZEN OR RESIDENT ALIEN,
Country of Issuance Government ID
or Passport
Passport ID / Government ID
Country of Legal Residence Passport ID / Government ID Expiration Date
BENEFICIAL OWNER 2
Mr. Mrs.
Ms. Dr.
Name (rst, middle initial, last)
Date of Birth (mm/dd/yyyy)
U.S. Citizen Resident Alien
Neither
Country of Citizenship
Social Security or Tax ID Number Percentage of Ownership
Permanent Address
City State (U.S. only) U.S. Postal/Zip Code
Foreign Province/Region Name or Code Foreign Postal Code
Country
PLEASE PROVIDE THE FOLLOWING INFORMATION.
Country of Issuance Government ID
or Passport
Passport ID / Government ID
Country of Legal Residence Passport ID / Government ID Expiration Date
BROKERAGE TRUST APPLICATION
Page 5 of 13
0122-TRUSTAPP-B66961
4. BENEFICIAL OWNERSHIP INFORMATION (PLEASE PRINT) (CONTINUED)
BENEFICIAL OWNER 3
Mr. Mrs.
Ms.
Dr.
Name (rst, middle initial, last)
Date of Birth (mm/dd/yyyy)
U.S. Citizen
Resident Alien
Neither
Country of Citizenship
Social Security or Tax ID Number Percentage of Ownership
Permanent Address
City State (U.S. only) U.S. Postal/Zip Code
Foreign Province/Region Name or Code Foreign Postal Code
Country
IF THE BENEFICIAL OWNER IS NOT A U.S. CITIZEN OR RESIDENT ALIEN,
Country of Issuance Government ID
or Passport
Passport ID / Government ID
Country of Legal Residence Passport ID / Government ID Expiration Date
BENEFICIAL OWNER 4
Mr. Mrs.
Ms.
Dr.
Name (rst, middle initial, last)
Date of Birth (mm/dd/yyyy)
U.S. Citizen
Resident Alien
Neither
Country of Citizenship
Social Security or Tax ID Number Percentage of Ownership
Permanent Address
City State (U.S. only) U.S. Postal/Zip Code
Foreign Province/Region Name or Code Foreign Postal Code
Country
PLEASE PROVIDE THE FOLLOWING INFORMATION.
Country of Issuance Government ID
or Passport
Passport ID / Government ID
Country of Legal Residence Passport ID / Government ID Expiration Date
5. PROVIDE A TRUSTED CONTACT PERSON (“TCP”) (OPTIONAL)
By choosing to provide information about a trusted contact person, you authorize E*TRADE to contact and to disclose information about
your account to that person in the following circumstances: to address possible nancial exploitation; to conrm the specics of your
current contact information, health status, or the identity of any legal guardian, executor, trustee or holder of a power of attorney; or as
otherwise permitted by applicable law.
This person will NOT have authorization over the account to manage assets nor perform any action other than those specied above.
TRUSTED CONTACT PERSON (CANNOT BE A TRUSTEE)
First Name* Last Name* Relationship
Country Code* Phone Number* Email Address
* If you choose to designate a TCP, these elds are required
BROKERAGE TRUST APPLICATION
Page 6 of 13
0122-TRUSTAPP-B66961
6. CREATE YOUR INVESTMENT PROFILE
SECURITIES INDUSTRY REGULATIONS REQUIRE THAT WE COLLECT ALL OF THE FOLLOWING INFORMATION.
Overall Investment Objective for
This Account (choose only one)
Capital preservation
Minimize the potential for any loss of
principal.
Income
Provide current income rather than
growth of principal.
Growth
Increase investment value over time
while accepting price uctuations.
Speculation
Assume the highest degree of risk
for potentially higher returns.
Investment
Experience
(choose only one)
Excellent
Good
Limited
None
Annual Income
(choose only one)
$200,000+
$100,000 -$199,999
$50,000 -$99,999
$25,000 -$49,999
$15,000 -$24,999
$0 -$14,999
Approximate Liquid Net
Worth (cash, stocks; cannot
be greater than total net
worth—choose only one)
$1,000,000+
$500,000–$999,999
$200,000–$499,999
$100,000–$199,999
$50,000–$99,999
$25,000–$49,999
$15,000–$24,999
$0–$14,999
Approximate Total Net Worth
(excluding primary residence;
cannot be less than liquid net
worth—choose only one)
$1,000,000+
$500,000–$999,999
$100,000–$499,999
$50,000–$99,999
$25,000–$49,999
$0–$24,999
Where will the assets to fund this account primarily come from? (choose only one)
Company income / Prot Donations / Gift / Inheritance / Trust Grant Loan
Company’s working capital Investments / Capital gains Private capital
What is the purpose and expected use of the account? (choose only one)
Investing of trust assets Distribution of estate
7. SELECT YOUR ACCOUNT FEATURES
Uninvested Cash Program
(1)
At the end of each business day, your uninvested cash will be
automatically swept into one of the options below. Select only one of
the following choices for the uninvested cash in your account. If no
option is selected, you will default to the ESDA. You may change your
selection at any time. For current rates and other information, go to
etrade.com/rates.
Cash Balance Program
(2)
ESDA (Offers daily interest and FDIC insurance up to $500,000)
(3)
(1) You have the option to have cash balances in your securities account automatically
treated as free credit balances at E*TRADE Securities or transferred to an account at a
bank or banks whose deposits are insured by the FDIC (collectively, “Sweep
Program”). For detailed information of the general terms and conditions of the products
available through the Sweep Program go to etrade.com/sweepoptions.
The products
available under the Sweep Program may change at any time. By signing this
application, you are providing your written affirmative consent to have your cash
balance included in the Sweep Program with the option selected by you.
(2)
Free Credit Balances at E*TRADE Securities.
(3) If you select ESDA, we will provide you a copy of the ESDA Program Customer
Agreement which can also be found at etrade.com/esdaagreement as par
t of the Bank
Sweep Account Agreements. In the ESDA
Program, your available cash balances will
automatically sweep between the brokerage account and deposit accounts at
participating depository institutions (“Program Banks”), with deposits at each Program
Bank insured by the FDIC for up to
$250,000. The total FDIC insurance coverage for
cash in your ESDA account will be up to $500,000 per account ($1,000,000 for joint
accounts). Any amount in excess of $500,000 ($1,000,000 for joint accounts) will not be
covered by FDIC insurance. You also should include other accounts you hold in the
same title and capacity at any of the Program Banks in calculating FDIC insurance
coverage limits, because coverage limits are set per customer across all accounts. A
list
of Program Banks can be found at etrade.com/esda. For more information regarding
FDIC insurance coverage limits, please visit
www.fdic.gov.
Access Your Money
An initial minimum deposit of $1,000 is required to qualify for these
items. Subsequent debit card and checkbook orders will not require a
minimum balance.
Free E*TRADE debit card
(4)
Free E*TRADE checkbook
(4) You must have a valid U.S. Social Security number (SSN) or Individual Taxpayer
Identication Number (ITIN) and a valid U.S. address to be eligible for a debit card.
Electronic Delivery
For your convenience, account documents noted below will be
delivered to you electronically instead of by US mail. We will
notify you at the primary authorized person’s email address
for your account whenever a new document is available if
required by law. Please indicate below if you prefer to opt out of
electronic delivery for certain documents.
You may withdraw your consent for the electronic delivery
of account documents at any time, subject to the terms of
the Customer Agreement, by visiting etrade.com/paperless
or by notifying E*TRADE at 800-387-2331. With respect to
documents you elect to receive electronically, you agree to all
the terms of Section 17 of the E*TRADE Customer Agreement
at etrade.com/custagree.
I would prefer to receive the following items by US mail:
Account statements
1
Trade conrmations
Tax documents
Ofcial statements and prospectuses
2
Corporate reports, proxies, reorganization notications
3
1. A $2.00 handling fee for paper statements (“Paper Statement Fee”) will be
c
harged to your account the month following the month for which you were mailed
a paper statement (hereinafter the “Trigger Month”), unless any of the following
apply by the last business day of the
Trigger Month: (1) you have consented
to electronic delivery of account statem
ents with respect to the account; (2)
the combined value of cash and securities in your linked E*TRADE Securities
accounts is $10,000 or more; (3) you have a combined balance of $20,000 or
more in your linked E*TRADE Securities and Morgan Stanley Private Bank,
National Association
accounts; (4) you are an active trader who executes at least
30 stock or options trades a month; (5) your account is a retirement or custodial
account; or (6) your account is a stock plan account administered by E*TRADE
Financial Corporate Services, Inc., and you are a current employee of a current
E*TRADE Financial Corporate Services, Inc client.
2. This preference category also includes legal and regulatory communications.
Such communications, official statements and prospectuses are delivered via
email; prospectus for ETFs are delivered by Executed Trade alerts.
3. Please note proxy notices for foreign securities subject to the Shareholder
Rights Directive are only available via electronic delivery.
BROKERAGE TRUST APPLICATION
Page 7 of 13
0122-TRUSTAPP-B66961
____________
O
O
O
8. SIGN AND DATE YOUR APPLICATION
I am of legal age to enter into this contract. I acknowledge that I have received, read, and agree that the Applicant shall be bound by
the terms and conditions as currently set forth in the E*TRADE Customer Agreement and as amended from time to time. The E*TRADE
Customer Agreement is available online at etrade.com/custagree or by calling 800-387-2331. I conrm and acknowledge that neither
E*TRADE Securities LLC nor any of its afliates provide investment, tax or legal advice except to the extent set forth in Section 9 of the
Customer Agreement. I understand that you will supply my name to issuers of any securities held in the account so that the Applicant
might receive any important information regarding them unless I notify you in writing not to do so.
I acknowledge I have been informed by E*TRADE Securities LLC, and that I understand, that securities products, such as
stocks, bonds, options, mutual funds, and exchange-traded funds and other securities products and services offered by
E*TRADE Securities are not insured by the FDIC, are not deposits or other obligations of, and are not guaranteed by Morgan
Stanley Private Bank or any other bank, and are subject to investment risks, including the possible loss of the principal
amount invested.
I am NOT a U.S. individual or entity and have attached Form(s) W-8 to this application to claim foreign status or treaty benets.
If you are exempt from backup withholding, enter in the
Exemptions box, any code(s) that may apply to you.
Please see page 3 section, ‘Exempt Payee Code’.
Exemptions (see instructions):
Exempt payee code (if any):
If you are exempt from backup withholding, enter in the Exemption Box,
any code(s) that may apply to you. See ‘Exempt Payee Code’ on page
3 of the instructions.
Under penalties of perjury, I certify that:
1. The number shown on this form is my correct taxpayer identication number (or I am waiting for a number to be issued to me), and
2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notied by the
Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or
(c) the IRS has notied me that I am no longer subject to backup withholding, and
3. I am a U.S. citizen or other U.S. person (dened below), and
4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct.
5. To the best of my knowledge, the benecial ownership information provided is complete and correct.
Certication instructions.
You must cross out item 2 above if you have been notied by the IRS that you are currently subject to
backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2
does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an
individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the
certication, but you must provide your correct
TIN. Certication Instructions
The Internal Revenue Service does not require your consent to any provision of this document other than the certications
required to avoid backup withholding.
I UNDERSTAND THAT THIS ACCOUNT IS GOVERNED BY A PREDISPUTE ARBITRATION CLAUSE. I acknowledge that I have
received and read a copy of the E*TRADE CUSTOMER AGREEMENT which contains a pre-dispute Arbitration Agreement at Section 12.
Signature of Trustee
(digital signatures not accepted)
Date Printed Name
Signature of Co-Trustee (if applicable)
(digital signatures not accepted)
Date Printed Name
Signature of Grantor (if different from Trustee)
(digital signatures not accepted)
Date Printed Name of Grantor
System response and account access times may vary due to a variety of factors, including trading volumes, market conditions, and system
performance.
Securities products and services offered by E*TRADE Securities LLC, Member SIPC, a subsidiary of Morgan Stanley.
© 2022 E*TRADE from Morgan Stanley. All rights reserved.
BROKERAGE TRUST APPLICATION
Page 8 of 13
0122-TRUSTAPP-B66961
-
TRUSTEE CERTIFICATION OF TRUSTEE POWER
RESPONSES TO YES OR NO QUESTIONS ARE REQUIRED.
In consideration of your maintaining one or more accounts for the Trust named below, I (we) the undersigned trustee(s), certify to
E*TRADE Securities that the following is true, under the penalty of perjury.
Trust Name (Name of Trust Listed in Section 1):
Date of Formation of Trust Date of Last Amendment
1. There are no other trustees other than the undersigned.
2. The trust agreement explicitly authorizes all Trustees to act individually without the approval of the other Trustees. You have the
authority to accept orders and other instructions relative to the trust accounts from any of these Trustees and they may execute any
documents on behalf of the Trust which you may require.
Please Note: Although the trust agreement may allow a trustee to act individually, under certain circumstances, E*TRADE policies may
require that the written approval of all Trustees be obtained.
3. I (We) certify that I (we) have the power under the Trust Agreement to enter into transactions for the purchase and sale of securities
and other investments, including, without limitation, stocks (preferred or common), bonds, mutual funds, and certicates of deposit.
In addition to the foregoing powers, the undersigned Trustees are specically authorized:
(I) to maintain a Margin and Short Account, and through such account, to borrow money to purchase securities on mar
gin, sell securities which the Trust does not own (i.e., short sales), and to borrow securities in connection therewith?
Yes No
(II) to trade in options, including, without limitation, the purchase of puts and calls and the writing (sale) of covered and
uncovered puts and calls?
Yes No
(III) to delegate to others (such as Authorized agent(s)/Advisers) the authority to give trading instructions with respect to
the Trust’s brokerage account with E*TRADE?
Yes No
(IV) to act through a duly appointed agent or attorney-in-fact in carrying out any and all the authorized powers and duties
enumerated in the Trust Instrument, including the disbursement of funds and securities to third parties?
Yes No
4. The undersigned Trustees jointly and severally indemnify you, your agents, ofcers, successors and assigns and hold all of you
harmless from any liability (including attorney’s fees) arising out of or related to any actual or alleged improper or unsuitable actions
resulting from instructions given by any of us (or by third-parties duly designated by us) to you. This indemnication is made by us
both in our capacities as trustees and in our individual capacities. We agree to promptly inform you, in writing, of any amendment
to the Trust, any change in the composition of the Trustees or any other event which could alter the certications made above. We
acknowledge E*TRADE’s right but not an obligation, to examine the Trust Agreement and hereby agree to provide you with a copy of
the Trust Agreement if requested in writing. (Where applicable, plural references in this certication shall be deemed singular.)
Signature of Trustee (digital signatures not accepted) Name of Trustee Date
Signature of Trustee (digital signatures not accepted) Name of Trustee Date
Signature of Trustee (digital signatures not accepted) Name of Trustee Date
Signature of Trustee (digital signatures not accepted) Name of Trustee Date
ALL TRUSTEES MUST SIGN
© 2022 E*TRADE from Morgan Stanley. All rights reserved.
BROKERAGE TRUST APPLICATION
Page 9 of 13
0122-TRUSTAPP-B66961
O
O
MARGIN APPLICATION
NOTE: CUSTOMERS REQUESTING MARGIN SHOULD INDICATE IN SECTION ABOVE THAT THE TRUST ALLOWS MARGIN IN
THE TRUSTEE CERTIFICATION OF TRUSTEE POWERS.
LEVEL 3 OR 4 OPTION UPGRADE WILL NEED TO SIGN THE MARGIN DISCLOSURE STATEMENT.
A margin account gives you the exibility to borrow from E*TRADE Securities using the assets in your account as collateral. Proceeds
may be used to purchase additional securities, as overdraft protection, or for any other purpose.
Margin transactions involve additional risks, including the risk that you could lose more money than you deposit in your account. For more
information, including current margin interest rates and the FINRA Margin Disclosure Statement, visit etrade.com/margin. See the Margin
Account Supplement of the E*TRADE Customer Agreement at etrade.com/custagree for more information about your responsibilities.
It is expected that you read the Characteristics and Risks of Standardized Options booklet, which we have provided to you and can
be found at
etrade.com/optionsagree. In particular,
please direct your attention to the chapter entitled Principal Risks of Options Positions.
This statement is not intended to enumerate all of the risk entailed in writing uncovered options.
Please read and sign the Margin Disclosure Statement shown below if you wish to add Margin Borrowing and Overdraft
Protection to this account.
Margin Disclosure Statement. E*TRADE Securities LLC is furnishing this statement to you to provide some basic facts about purchasing
securities on margin and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin
account, you should carefully review this Margin Disclosure Statement and the E*TRADE Customer Agreement. Contact E*TRADE
Securities regarding any questions or concerns you may have with your margin account(s). When you purchase securities, you may pay
for the securities in full or you may borrow part of the purchase price from your brokerage rm. If you choose to borrow funds from your
rm, you will open a margin account with the rm. The securities purchased are the rm’s collateral for the loan to you. If the securities in
your account decline in value, so does the value of the collateral supporting your loan, and as a result the rm can act, such as issue a
margin call and/or sell securities in your account, to maintain the required equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following.
You can lose more funds than you deposit in the margin account. A decline in the value of securities that are purchased on margin
may require you to provide additional funds to the rm.
The rm can force the sale of securities in your account. If the equity in your account falls below the maintenance margin requirements
under the law or the rm’s higher “house” requirements, the rm can sell the securities in your account to cover the margin deciency. You
will be responsible for any shortfall in the account after such a sale.
The rm can sell your securities without contacting you. Some investors mistakenly believe that a rm must contact them for a
margin call to be valid and that the rm cannot liquidate securities in their accounts to meet the call unless the rm has contacted them
rst. This is not the case. Most rms will attempt to notify their customers of margin calls, but they are not required to do so. However,
even if a rm has contacted a customer and provided a specic date by which the customer can meet a margin call, the rm can still take
necessary steps to protect its nancial interests, including immediately selling the securities without notice to the customer.
You are not entitled to choose which security in your margin account is liquidated or sold to meet a margin call. Because the
securities are collateral for the margin loan, the rm has the right to decide which security to sell to protect its interests.
The rm can increase its “house” maintenance margin requirements at any time and is not required to provide you with advance
written notice. These changes in rm policy often take effect immediately and may result in the issuance of a maintenance margin call.
Your failure to satisfy the call may cause the rm to liquidate or sell securities in your account.
You are not entitled to an extension of time on a margin call. Although an extension of time to meet margin requirements may be
available to customers under certain conditions, a customer does not have a right to an extension.
I understand that my account, if approved, will be upgraded to a margin account. I acknowledge that securities held in my margin
account may be pledged, repledged, hypothecated, or rehypothecated for any amount due E*TRADE Securities in my account(s) or for
a greater amount which E*TRADE Securities, at its sole discretion, may deem necessary. I also acknowledge that my securities may
be loaned to ETRADE Securities or loaned out to others and that E*TRADE Securities may receive compensation in connection
with lending my securities.
I UNDERSTAND THAT THIS ACCOUNT IS GOVERNED BY A PREDISPUTE ARBITRATION CLAUSE. I acknowledge that I have
received and read a copy of the E*TRADE CUSTOMER AGREEMENT which contains a pre-dispute Arbitration Agreement at Section 12.
Signature of Trustee
(digital signatures not accepted)
Date Printed Name
Signature of Co-Trustee (if applicable)
(digital signatures not accepted)
Date Printed Name
BROKERAGE TRUST APPLICATION
Page 10 of 13
0122-TRUSTAPP-B66961
•
OPTIONS TRADING APPLICATION
NOTE: CUSTOMERS REQUESTING OPTIONS TRADING SHOULD INDICATE IN SECTION ABOVE THAT THE TRUST
ALLOWS OPTIONS IN THE TRUSTEE CERTIFICATION OF TRUSTEE POWERS.
Optional: Complete this form only if you would like to apply to add options trading capability to this account.
Visit www.etrade.com/options to learn more about the risks and rewards of options trading.
Options Activity
Select only one box. If no box is selected, you will be considered for Level One activity only.
Level One:
Capital Preservation/Income
Covered Calls, including:
• Covered Calls
• Buy-writes
Level Two:
Income/ Growth
Level 1, plus:
• Long Calls
• Long Puts
• Married Puts
• Covered Puts
• Collars
• Long Straddles/
Strangles
• Cash-Secured Puts
Level Three:
Growth/ Speculation
Level 2, plus:
• Spreads
• Naked Puts
Margin required
Level Four:
Speculation
Level 3, plus:
Naked calls
Margin required
ANY SECTION LEFT BLANK WILL BE ASSUMED TO BE ZERO
OR NONE.
PRIMARY AUTHORIZED PERSON
Marital Status
Single Married Divorced Widowed
Number of Dependents (including self)
1 2 3 4 Other:
Options Investment Knowledge
None Limited Good Excellent
Options T
rading Experience
None
Covered Calls Covered Puts
Purchases
Spreads Uncovered Calls Uncovered Puts
Years of Experience
Stocks: yrs. Bonds: yrs.
Options: yrs. Futures: yrs.
Total Transactions per Year
Stocks
75+
25-74
15-24
10-14
0-9
Bonds
75+
25-74
15-24
10-14
0-9
Options
75+
25-74
15-24
10-14
0-9
Futures
75+
25-74
15-24
10-14
0-9
A
verage Transaction Size
$25,000+ $10,000-$24,999 0-$9,999
ANY SECTION LEFT BLANK WILL BE ASSUMED TO BE
ZERO OR NONE.
CO-AUTHORIZED PERSON, IF APPLICABLE
Marital Status
Single Married Divorced Widowed
Number of Dependents (including self)
1 2 3 4 Other:
Options Investment Knowledge
None Limited Good Excellent
Options Trading Experience
None
Covered Calls Covered Puts
Purchases
Spreads Uncovered Calls Uncovered Puts
Years of Experience
Stocks: yrs. Bonds: yrs.
Options: yrs. Futures: yrs.
T
otal Transactions per Year
Stocks
75+
25-74
15-24
10-14
0-9
Bonds
75+
25-74
15-24
10-14
0-9
Options
75+
25-74
15-24
10-14
0-9
Futures
75+
25-74
15-24
10-14
0-9
Average Transaction Size
$25,000+ $10,000-$24,999 0-$9,999
BROKERAGE TRUST APPLICATION
0122-TRUSTAPP-B66961
Page 11 of 13
OPTIONS TRADING APPLICATION
O
O
Special Statement for Uncovered Options Writers
There are special risks associated with uncovered options writing which expose the investor to potentially signicant loss. Therefore, this
type of strategy may not be suitable for all customers approved for options transactions.
• The potential loss of uncovered call writing is unlimited. The writer of an uncovered call is in an extremely risky position and may incur
large losses if the value of the underlying instrument increases above the exercise price.
• As with writing uncovered calls, the risk of writing uncovered put options is substantial. The writer of an uncovered put option bears
a risk of loss if the value of the underlying instrument declines below the exercise price. Such loss could be substantial if there is a
signicant decline in the value of the underlying instrument.
• Uncovered options writing is thus suitable only for the knowledgeable investor who understands the risks, has the nancial capacity
and willingness to incur potentially substantial losses, and has sufcient liquid assets to meet applicable margin requirements. In
this regard, if the value of the underlying instrument moves against an uncovered writer’s options position, the investor’s broker may
request signicant additional margin payments. If an investor does not make such margin payments, the broker may liquidate stock
or options positions in the investor’s account with little or no prior notice in accordance with the investor’s margin agreement.
• For combination writing, where the investor writes both a put and a call on the same underlying instrument, the potential risk is
unlimited.
• If a secondary market in options were to become available, investors could not engage in closing transactions, and an options writer
would remain obligated until expiration or assignment.
• The writer of an American-style option is subject to being assigned an exercise at any time after he has written the option until the
option expires. By contrast, the writer of a European-style option is subject to exercise assignment only during the exercise period.
It is expected that you read the Characteristics and Risks of Standardized Options booklet, which we have provided to you and can be
found at etrade.com/optionsagree. In particular, please direct your attention to the chapter entitled Principal Risks of Options Posi tions.
This statement is not intended to enumerate all of the risk entailed in writing uncovered options.
I agree not to enter into any options transactions until I have received, read, and understood the disclosure document entitled
characteristics and risks of standardized options, which can be found at etrade.com/optionsagree. I am aware of the special risks
and obligations of options trading. I have read, understood, and agree to be bound by the E*TRADE Securities options trading terms and
conditions outlined in the Options Supplement of the E*TRADE Customer Agreement which can be found at etrade.com/custagree. I also
agree that I am bound by it as it is currently in effect and as it is amended from time to time.
IMPORTANT: Section 8 of the TRUST Application must also be signed for the account to be opened. You cannot use this application
to upgrade an existing account. If you would like to add options trading capability to an existing account, please use the Margin/Option
Account Upgrade Form, which can be found at etrade.com/forms.
I UNDERSTAND THAT THIS ACCOUNT IS GOVERNED BY A PREDISPUTE ARBITRATION CLAUSE. I acknowledge that I have
received and read a copy of the E*TRADE CUSTOMER AGREEMENT which contains a pre-dispute Arbitration Agreement at
Section 12.
Signature of Trustee
(digital signatures not accepted)
Date Printed Name
Signature of Co-Trustee (if applicable)
(digital signatures not accepted)
Date Printed Name
System response and account access times may vary due to a variety of factors, including trading volumes, market conditions, and system
performance.
Securities products and services offered by E*TRADE Securities LLC, Member SIPC, a subsidiary of Morgan Stanley.
© 2022 E*TRADE from Morgan Stanley.
All rights reserved.
BROKERAGE TRUST APPLICATION
0122-TRUSTAPP-B66961
Page 12 of 13
O
Legal Documents
Document Name URL
Important information about E*TRADE’s brokerage and investment advisory services
Relationship Summary www.etrade.com/formcrs
Basic Securities and Brokerage
E*TRADE Customer Agreement www.etrade.com/custagree
Business Resiliency Plan www.etrade.com/bcp
Privacy Statement
www.etrade.com/privacy
Regulatory Notices
www.etrade.com/notices
Margin and Options
Characteristics of Standardized Options https://www.theocc.com/about/publications/character-risks.jsp
Margin Disclosure Statement https://us.etrade.com/e/t/estation/help?id=1302000000#View
Day Trading Disclosure https://us.etrade.com/e/t/prospectestation/pricing?id=1201120101
Risk Disclosure Statement www.etrade.com/riskdisclosure
Special Statement for Uncovered Options Writers https://us.etrade.com/e/t/prospectestation/pricing?id=1201120102
Uninvested Cash Options
Sweep Rate Schedule https://us.etrade.com/e/t/prospectestation/pricing?id=1907000100
ESDA
Agreement www.etrade.com/esdaagreement
E*TRADE Account Agreement, Disclosures, and Terms
• I am of legal age to agree to the terms herein.
• Under penalties of perjury, (1) the taxpayer identication number I submitted on this application is my correct number (or I am
waiting for a number to be issued to me), and (2) I am not subject to backup withholding because: (a) I am exempt from backup
withholding, or (b) I have not been notied by the Internal Revenue Service (IRS) that I am subject to backup withholding
as a result of a failure to report all interest or dividends, or (c) the IRS has notied me that I am no longer subject to backup
withholding, and (3) I am a U.S. citizen or other U.S. person. The IRS does not require my consent to any provision of this
document other than the certication required to avoid backup withholding.
• I have been informed by E*TRADE and understand that securities products, such as stocks, bonds, options, mutual funds, and
exchange traded funds and other securities products and services offered by E*TRADE are not insured by the Federal Deposit
Insurance Corporation (FDIC), are not deposits or other obligations of, and are not guaranteed by Morgan Stanley Private
Bank, National Association or any other bank, and are subject to investment risks, including the possible loss of the principal
amount invested. Additionally, I conrm and acknowledge that neither E*TRADE Securities LLC nor any of its afliates provides
investment, tax or legal advice except to extent set forth in Section 9 of the Customer Agreement.
• I have received and reviewed all of the above disclosures, notices, and I agree to be bound by terms and conditions set forth
in any above-listed E*TRADE product agreement, the E*TRADE Customer Agreement, and any applicable supplements
contained therein, each of which is linked above, as may be amended from time to time in accordance with the terms thereof
(collectively, “E*TRADE Account Agreement”). Printed versions of the disclosures and notices are available upon request.
• I have received and reviewed the Relationship Summary provided above in completing my application to open this account.
I understand that I can request the Relationship Summary at any time by contacting 800-387-2331.
Signature (Digital signatures not accepted) Print Name Date
0122-LGLBRK-B67516
Page 13 of 13
Download
Save PDF to desktop
Email
Email completed PDF
Send for Signing
Email for others to sign
Print
Print document
Choose a Field
Click on a field and
select the person that should complete it
Want to add a signature?
You can add a signature field
and assign it to someone else
to sign
Choose a Field
Click on a field and
select the person that should complete it

BROKERAGE TRUST APPLICATION

This document is locked as it has been sent for signing.

You have successfully completed this document.

Other parties need to complete fields in the document. You will recieve an email notification when the document has been completed by all parties.

This document has been signed by all parties.

Completed 7 April 2022

Message

View Audit Log
Print With Audit Log
Duplicate Document