Fill - Free fillable LLC, Investment Club, Or Partnership Account Application-TDA 0220 PDF form



Type of Account

Funding Your Account

Entity Information

LLC, Investment Club,

or Partnership

Account Application

Questions? Call a New Accounts representative at 800-276-8746.

Please visit us at www.tdameritrade.com for more information about opening an account.

In this agreement, “Account Owner,” “I,” and “my” refer to the entity for which this account is





Limited Liability Company

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



C C

Check here if you are single member LLC.

C C

Check here if an individual retirement account or IRA is a member of the LLC (hereinafter, “IRA, LLC”).

Investment Club 





Partnership 







Limited Partnership 







I will be funding with:

 Please make check payable to TD Ameritrade Clearing, Inc.









We will require a completed Entity Authorized Agent

Form if you are funding this account with physical stock certificates.



Return Options:

Electronically via Message Center:





Regular Mail:

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guidelines.

Title of Entity:



Note: If a Social Security Number is provided, the Entity must be either a Single-Member LLC or an LLC solely owned by spouses as Community Property,

and the Entity must have elected to be treated as a disregarded entity for federal income tax purposes.

*TDA1186*

Reset Form

*





*Mailing Address:





Email (required for electronic delivery of your account statement and trade conrmations):



*

(complete appropriate Form W-8)











*



(optional):















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











Please

provide a

contact

name (this is

for mailing

purposes

only)

Aliations





Specify the name of the affiliated person/Authorized Agent, the company name, ticker symbol, address,

city, and state:





. If this entity requires its approval for you to open this account, please provide

a copy of the required authorization letter (with this application):

Section 3, Entity Information continued



Authorized Agent Compensation

Partner/Authorized Agent Only









CCNOT

*

Yes





*







Home Address (no PO box or mail drop):







Retired







 (if Self-Employed, provide the name of your business):



Specify the name of the person affiliated with the

Authorized Agent employed by the Registered Investment Advisor and Investment Advisor company name.

Specify the name of the licensed professional, their relationship

to the Authorized Agent, and if associated with an entity.











(optional):











:

(if applicable):

:

Section 4, Aliations continued

Please

provide

your full

legal name

 

Partner/Authorized Agent Only







CCNOT

*

Yes







Home Address (no PO box or mail drop):







Retired







 (if Self-Employed, provide the name of your business):



(optional):











:

(if applicable):

:

Partner/Authorized Agent Only





(optional):











Section 6, Partner/Authorized Agent Only continued

Please

provide

your full

legal name

Please

provide

your full

legal name







CCNOT

*

Yes



Please make additional copies if necessary.

Home Address (no PO box or mail drop):







Retired







 (if Self-Employed, provide the name of your business):

:

(if applicable):

:

Control Person (Required)

Home Address (no PO box or mail drop):











(optional):















CCNOT

:

(if applicable):

:

Please

provide your

full legal

name



Section 6, Partner/Authorized Agent Only continued



 

Benecial Owners









Benecial Owner #1

Benecial Owner #2

Home Address (no PO box or mail drop):

(optional):











(optional):















CCNOT

*

Yes





CCNOT

(if applicable):

*

Yes



:

(if applicable):

:

Please

provide your

full legal

name

Please

provide your

full legal

name

*

Yes



Section 7, Control Person continued

 

Benecial Owner #3

Benecial Owner #4

Home Address (no PO box or mail drop):

(optional):











(optional):















CCNOT

*

Yes



CCNOT

*

Yes





If additional benecial owners need to be disclosed, please copy this page as needed.

:

(if applicable):

:

Please

provide your

full legal

name

Please

provide your

full legal

name

Trade Conrmations and Account Statements















Section 8, Benecial Owners continued



Account Statement:

Electronic Monthly

($2 fee may apply each month)

($2 fee may apply each quarter)

Trade Conrmation:

Electronic



C C





Oer Code (Optional)









Trusted Contact (Optional)









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.







Mailing Address:





Mailing Address:

Email:

Section 9, Trade Conrmations and Account Statements continued

 





Moderate





:



Moderate

Moderate Growth

Growth



(Check at least one or all that apply)



Moderate

Moderate Growth

Growth





(Check only one that applies)





 



More than 1 year



Less than 1 year











Investment Objectives

For

denitions

regarding

investment

objectives,

please

see page

13 of the

application.

Please

provide

all of the

requested

nancial

information

based on the

entity.

Financial Information













(not including place of business)

 















(cash, stocks, etc.)

 















Margin Privileges

Options Account

All qualied accounts are opened as margin accounts















Check this box to decline margin privileges. Open the account as cash only.







Check this box to decline option privileges.





Please

provide all of

the requested

information

based on the

entity.

Options Objectives (Only required if applying for options.)

(Check all that apply)







(Check all that apply)

Growth



Income

























MARGIN REQUIRED













For

denitions

regarding

options

objectives,

please

see page

13 of the

application.

Please select

only one

If Authorized

Agent is a

Member/

Partner, he

or she must

also sign this

section.

Original

signatures

are required;

electronic

signatures

and/or

signature

fonts are not

authorized.

Cash Sweep Vehicle Choices

Member/Partner Signatures



 If I do

not make a selection, my cash balances will be swept to the TD Ameritrade FDIC Insured Deposit Account. Other sweep choices are

available for clients with household values greater than $500,000 and cash balances of more than $100,000. I understand my account















































Sign Here

Section 15, Options Account continued



X X









Trading Authorization

















































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































































Section 17, Member/Partner Signatures continued

Sign Here



If I am a U.S. person for tax purposes:

Under penalties of perjury, I certify that: (1) the number shown on this form is my correct taxpayer identication number; (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 Services (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; (3) I am a U.S. citizen or other U.S. person; and

(4) the FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct.

If I have been notied by the IRS that I am subject to backup withholding because I have failed to report all interest and

dividends on my tax return, I must cross out (2) in this certication.

If I am not a U.S. Person for tax purposes:

I am submitting the applicable Form W-8 with this form to certify my foreign status.

The IRS does not require your consent

to any provision of this document

other than the certications required

to avoid backup withholding.

The Client Agreement applicable to this brokerage account contains a predispute

arbitration clause. By signing this agreement, the parties agree to be bound by the terms

of the Client Agreement, including the arbitration agreement located in Section 12 of the

Client Agreement on page 8.



I release and agree to indemnify and hold harmless Indemnitees from any and all liability and claims for damages resulting from any





































Important information about procedures for opening a new account:

To help the government ght the funding of terrorism and money laundering activities, federal law 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, and other information that

will allow us to identify you. 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. By my signature below, I attest that I am of legal age to contract, and I

certify, to the best of my knowledge that the information provided on this application is complete and correct.

All Authorized Agents and Ocers must provide their signatures below.

















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

TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc., members FINRA/SIPC. TD Ameritrade is a trademark jointly owned by

Investment Products: Not FDIC Insured * No Bank Guarantee * May Lose Value

Investment Objectives Denitions

Conservation: 



Moderate:



Moderate growth:



Growth:



Aggressive Growth:



Options Objectives Denitions

Growth:



Speculation:





Income:



Conservation of Capital:



A11 Accounting

 

 

 

A51 Amusement and Recreation

 

 

 

 

 

 

 

 

 

 

 

 



 

E11 Education

 

E31 Energy

E41 Engineering

 

 

 

 

 

 

 

 

 

 

I31 Insurance

 

 

 

M11 Manufacturing

 

 

M41 Mining, Oil, and Gas

 





 



 



 

 

 



 

 

 



R11 Real Estate

 

 

and Other

 

 

 

 

 

 

 

 

Industry of Occupation Codes

 

 

 

 

 

A53 Analyst

 

 

 

 

A44 Athlete

 

A74 Auctioneer

 

 

 

 

 

 

 



 

 

 

 

 

 

 

 

 

 

D11 Dealer

D61 Dentist

D31 Distributor

 

 

E51 Engineer

E71 Exterminator

 

 

 

 

 

 

 

 

 

 

 

L31 Laborer

 

M91 Mechanic

 

 

 

 

 



 

 

 

 



 

 

 

R71 Researcher

 

 

 

 

 

 

T51 Technician

T61 Teller

 

 

 

 

 

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LLC, Investment Club, Or Partnership Account Application-TDA 0220

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Fill Online, Printable, Fillable, Blank LLC, Investment Club, Or Partnership Account Application-TDA 0220 Form

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Fillable LLC, Investment Club, Or Partnership Account Application-TDA 0220

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