7. CREATE AN INVESTMENT PROFILE FOR THE ACCOUNT
SECURITIES INDUSTRY REGULATIONS REQUIRE THAT WE COLLECT ALL OF THE FOLLOWING INFORMATION.
Overall Investment Objective
for This Account
(choose only one)
Minimize the potential for any loss of
Provide current income rather than growth
Increase investment value over time while
accepting price fluctuations.
Assume the highest degree of risk for
potentially higher returns.
(choose only one)
(choose only one)
Approximate Liquid Net
Worth (cash, stocks—
this cannot be greater
than total net worth—
choose only one)
Approximate Total Net
Worth (excluding primary
residence— choose only one)
Where will the assets to fund this account primarily come from? (choose only one)
Company income / Profit Company’s working capital Donation / Gift / Inheritance / Trust Grant
Investments / Capital gains Loan Private capital
What is the purpose and expected use of the account? (choose only one)
Professional asset management Investment account with transfers for expenses Long-term investment performance Investment of business capital
8. SELECT YOUR ACCOUNT FEATURES
Uninvested Cash Program
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
Extended Sweep Deposit Account Program (“ESDA” or “ESDA Program”). You may
change your selection at any time. For current rates and other information, go to
Cash Balance Program
ESDA (Offers daily interest and FDIC insurance up to $1,250,000)
(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 www.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, the ESDA Program Customer Agreement can be found at
www.etrade.com/esdaagreement as part 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 $1,250,000 per account ($2,500,000 for joint accounts). Any amount in excess
of $1,250,000 ($2,500,000 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 www.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
Free E*TRADE Checkbook
(4) You must have a valid U.S. Social Security Number (SSN) or Individual Taxpayer Identification Number
(ITIN) and a valid U.S. address to be eligible for a debit card.
For your convenience, account documents will
be delivered to you electronically via a secure
online file cabinet instead of by U.S. mail.
We will notify you at the primary authorized
person’s e-mail address provided in Section 2
whenever a new document is available.
You may withdraw your consent for the
electronic delivery of account documents
at any time by visiting Account Preferences
on etrade.com or by notifying E*TRADE at
1-800-ETRADE-1. With respect to documents
you elect to receive electronically, you agree
to all the terms governing Electronic Delivery
of Documents of the E*TRADE Customer
Agreement at etrade.com/custagree. You may
change your delivery preferences at any time.
I would prefer to receive the following items by
Official Statements and Prospectuse
Corporate reports, proxies, reorganization
BUSINESS BROKERAGE APPLICATION
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