Account Forms

Account Service Forms

All the forms you need to help your clients manage their accounts are right here. Many forms can be completed online, then printed, signed and returned to us via mail or fax. Or, you can have your clients do the process manually by printing the form, then filling it out and returning to us.

Account Forms


Register and ship securities to a name and address other than the name and address that is the official address of record for the account.

Establish periodic credits from a client’s retail or non-Pershing LLC custodial brokerage account to the client’s bank account.

Transfer (either partially or in full) assets held at another organization into your control through Pershing, as well as request the rollover of assets from a qualified retirement plan (QRP) into an individual retirement account or another QRP.

Sell and/or transfer estate-owned stock

Request that assets be moved (via journal entry) between retail accounts and certain retirement accounts (individual retirement accounts, simplified employee pensions [SEPs], and salary reduction SEPs).

Confirm that you are the sole proprietor of the entity for which you wish to open an account.

Confirm you are a beneficial owner of the entity for which you wish to open an account.

Designate an authorized individual(s) to act on behalf of a corporation.

Check writing application form

Establish direct deposit from your bank into a brokerage account.

Open a Traditional individual retirement account (IRA) and define plan terms.

Make a contribution to a Traditional individual retirement account (IRA), Roth IRA, simplified employee pension (SEPs), and salary reduction SEPs, SIMPLE IRA, or Education Savings Account.