ACCOUNT DOCUMENTS

Find, download, and print important forms, agreement, PDF files, tax forms and disclosures from our library. Our forms can be completed online via PandaDoc which will send us the finished document. 

ACCOUNT APPLICATION

File Name

Description

Complete Electronically

Download

ACCOUNT APPLICATION (Packet)

To open and fund your new investment account. This include an active trading form, ACH, basic facts about investing, and a welcome agreement.

Account Application (Standard Form)

To open and fund your new investment account. This include a welcome agreement.

ACCOUNT TRANSFER FORM

File Name

Description

Complete Electronically

Download

Account Transfer from another Brokerage (ACAT)

Transfer assets from another financial institution to your E1 account.

ACH MoneyLink Form

Setup or change a bank for making ACH withdrawals from your E1 account.

Internal Transfer

Transfer funds or assets from one E1 account to another.

AGREEMENTS & DISCLOSURE

File Name

Description

Complete Electronically

Download

High Activity Letter

Active trading risk disclosure.

Margin Agreement

Apply for an extension of credit by adding margin privileges to an account.

Options Agreement

Apply to add options privileges to an account.

Bond Disclosure

Educational document for clients who are interested in investing in Bonds.

Margin Risk Disclosure

Educational document for clients who are interested in investing in margin.

Options Risk Disclosure

Educational document for clients who are interested in investing in options.

RETIREMENT ACCOUNTS

File Name

Description

Complete Electronically

Download

IRA Adoption Agreement

Add a beneficiary to your IRA accounts.

Change of Beneficiary Form

Add or change the beneficiary of an Individual Retirement Account.

IRA Distribution Form

Take distributions against your Traditional, Roth, Rollover, or SEP IRA.

ACH Contribution Form

Make a contribution to your Traditional, Roth, Rollover, or SEP IRA.

WIRE TRANSFER DEPOSIT & WITHDRAWALS

File Name

Description

View Electronically

Download

Wire in Instructions (GBP)

Wire funds from another financial institution into your E1 brokerage account. Use this form if you want to send Pound Sterling.

Wire in Instructions (EUR)

Wire funds from another financial institution into your E1 brokerage account. Use this form if you want to send Euros.

Wire in Instructions (USD)

Wire funds from another financial institution into your E1 brokerage account. Use this form if you want to send US dollars.

Wire Out Instructions

Wire funds from your E1 brokerage account to another financial institution.

Letter of Instruction Foreign Wire

Letter of Instruction International Bank Wire Request to initiate a wire to a foreign financial institution.

OTHER FORMS

File Name

Description

Complete Electronically

Download

Change of Address

Change the physical and/or mailing address to an account.

Characteristics and Risks of Standardized Options

Options Disclosure Document from the Options Clearing Corporation which should be read by investors before investing in options.

W8-BEN

Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding.

W8-BEN Entity

Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding: Form to be used by foreign entities.

W9

Request for Taxpayer Identification Number and Certification.

Welcome to E1 Asset Management

  • LinkedIn
  • Facebook
  • Twitter