
Type of Account
Funding Your Account
Entity Information
1
2
3
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


CC
Limited Liability Company



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”).
CC
Investment Club 


CC
Partnership 



CC
Limited Partnership 



I will be funding with:
CC
 Please make check payable to TD Ameritrade Clearing, Inc.
CC

CC


CC

CC
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:

Overnight Mail:



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only one.
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may be
required.
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consult the
TD Ameritrade
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for funding
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.
OR
*TDA1186*
Reset Form
*
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
*Mailing Address:



Email (required for electronic delivery of your account statement and trade conrmations):
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
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*
(complete appropriate Form W-8)



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*

(optional):
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


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
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


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

Please
provide a
contact
name (this is
for mailing
purposes
only)
Aliations
4
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

Specify the name of the affiliated person/Authorized Agent, the company name, ticker symbol, address,
city, and state:
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


. 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





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*
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Yes
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

*
5
6



Home Address (no PO box or mail drop):


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
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
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Retired
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
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
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
 (if Self-Employed, provide the name of your business):
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
Specify the name of the person affiliated with the
Authorized Agent employed by the Registered Investment Advisor and Investment Advisor company name.
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
Specify the name of the licensed professional, their relationship
to the Authorized Agent, and if associated with an entity.

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

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
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
(optional):
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
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
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
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
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
:
(if applicable):
:
Section 4, Aliations continued
Please
provide
your full
legal name
 
Partner/Authorized Agent Only





CCNOT
*
CC
Yes
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

*



Home Address (no PO box or mail drop):


CC

CC

CC
Retired
CC

CC

CC

 (if Self-Employed, provide the name of your business):
CC

CC

(optional):
CC

CC

CC

CC

CC

:
(if applicable):
:
Partner/Authorized Agent Only



CC

CC

(optional):
CC

CC

CC

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
CC

Section 6, Partner/Authorized Agent Only continued
Please
provide
your full
legal name
Please
provide
your full
legal name





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*
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Yes
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

*
Please make additional copies if necessary.
Home Address (no PO box or mail drop):


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
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
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Retired
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
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
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
 (if Self-Employed, provide the name of your business):
:
(if applicable):
:
Control Person (Required)
7

Home Address (no PO box or mail drop):




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
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

(optional):
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
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
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
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
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


CCNOT
:
(if applicable):
:
Please
provide your
full legal
name

Section 6, Partner/Authorized Agent Only continued
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
 
Benecial Owners
8




Benecial Owner #1
Benecial Owner #2


Home Address (no PO box or mail drop):

Home Address (no PO box or mail drop):

(optional):
CC

CC

CC

CC

CC

(optional):
CC

CC

CC

CC

CC





CCNOT
*
CC
Yes
CC


*

CCNOT
(if applicable):
*
CC
Yes
CC


*

:
:
(if applicable):
:
:
Please
provide your
full legal
name
Please
provide your
full legal
name
*
CC
Yes
CC


*

Section 7, Control Person continued
 
Benecial Owner #3
Benecial Owner #4


Home Address (no PO box or mail drop):

Home Address (no PO box or mail drop):

(optional):
CC

CC

CC

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
CC

(optional):
CC

CC

CC

CC

CC





CCNOT
*
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Yes
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

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
CCNOT
*
CC
Yes
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

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
If additional benecial owners need to be disclosed, please copy this page as needed.
:
:
(if applicable):
(if applicable):
:
:
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Trade Conrmations and Account Statements
9







Section 8, Benecial Owners continued

Account Statement:
CC
Electronic Monthly
CC
($2 fee may apply each month)
CC
($2 fee may apply each quarter)
Trade Conrmation:
CC
Electronic
CC

C C


Oer Code (Optional)
10




Trusted Contact (Optional)
11




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:
Email:
Section 9, Trade Conrmations and Account Statements continued
 

CC

CC
Moderate
CC

CC

:
CC

CC
Moderate
CC
Moderate Growth
CC
Growth
CC

(Check at least one or all that apply)
CC

CC
Moderate
CC
Moderate Growth
CC
Growth
CC

CC

(Check only one that applies)
CC

CC

CC
 
CC

CC
More than 1 year

CC
Less than 1 year
CC

CC

CC

CC

CC

Investment Objectives
12
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
13

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
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
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
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
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
(not including place of business)
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
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
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
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
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
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
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
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
(cash, stocks, etc.)
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
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
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
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
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
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
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
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
Margin Privileges
Options Account
14
All qualied accounts are opened as margin accounts







CC
Check this box to decline margin privileges. Open the account as cash only.



CC
Check this box to decline option privileges.
15


Please
provide all of
the requested
information
based on the
entity.
Options Objectives (Only required if applying for options.)
(Check all that apply)
CC

CC

CC

(Check all that apply)
CC
Growth
CC

CC
Income
CC


CC



CC



CC




MARGIN REQUIRED



CC



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
16
17
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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
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Sign Here
Section 15, Options Account continued
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






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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

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

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
TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. © 2020 TD Ameritrade.
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
 
 
 
 
 
Occupation Codes
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