Notarized Letter of Consent - Excel by ley18036

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									    Account Type                             Required/Optional Forms                   Writeable
     Individual        Required Documents:
                         Account Application                                           Yes
                       For optional features:
                         Account Application Supplement                                Yes
                         Account Transfer Form                                         Yes
                         Authorization to Mail Proxies to Financial Advisor            Yes
                         Cash Management Services Application (for Check writing and   Yes
                         ATM/VISA Debit Card, if applicable)
                         Margin Agreement/Loan Consent (if applicable)                 Yes
                         Money Transfer Plan Application (if applicable)               Yes
                         NASD Margin Disclosure                                              No
                         Option Trading Application (if applicable)                    Yes
                         Option Trading Risk Disclosure                                      No
                         Transfer on Death (Non-probate) (if applicable)               Yes


  Joint - Tenants w/   Required Documents:
Rights of Survivorship   Account Application                                           Yes
                       For optional features:
                         Account Application Supplement                                Yes
                         Account Transfer Form                                         Yes
                         Authorization to Mail Proxies to Financial Advisor            Yes
                         Cash Management Services Application (for Check writing and   Yes
                         ATM/VISA Debit Card, if applicable)
                         Margin Agreement/Loan Consent (if applicable)                 Yes
                         Money Transfer Plan Application (if applicable)               Yes
                         NASD Margin Disclosure                                              No
                         Option Trading Application (if applicable)                    Yes
                         Option Trading Risk Disclosure                                      No


  Joint - Tenants In   Required Documents:
      Common             Account Application                                           Yes
                       For optional features:
                         Account Application Supplement                                Yes
                         Account Transfer Form                                         Yes
                         Authorization to Mail Proxies to Financial Advisor            Yes
                         Cash Management Services Application (for Check writing and   Yes
                         ATM/VISA Debit Card, if applicable)
                         Margin Agreement/Loan Consent (if applicable)                 Yes
                         Money Transfer Plan Application (if applicable)               Yes
                         NASD Margin Disclosure                                              No
                         Option Trading Application (if applicable)                    Yes
                         Option Trading Risk Disclosure                                      No


  Joint - Community    Required Documents:
       Property          Account Application                                           Yes
                         Community Property Agreement                                  Yes
                       For optional features:
 Joint - Community
      Property


                           Account Application Supplement                                             Yes
                           Account Transfer Form                                                      Yes
                           Authorization to Mail Proxies to Financial Advisor                         Yes
                           Cash Management Services Application (for Check writing and                Yes
                           ATM/VISA Debit Card, if applicable)
                           Margin Agreement/Loan Consent (if applicable)                              Yes
                           Money Transfer Plan Application (if applicable)                            Yes
                           NASD Margin Disclosure                                                           No
                           Option Trading Application (if applicable)                                 Yes
                           Option Trading Risk Disclosure                                                   No


  Custodial (UTMA;       Required Documents:
      UGMA)                Account Application (the minor's Social Security Number and the            Yes
                           minor's date of birth should be used; all other information should refer
                           to the custodian)
                         For optional features:
                           Account Application Supplement                                             Yes
                           Account Transfer Form                                                      Yes
                           Authorization to Mail Proxies to Financial Advisor                         Yes
                           Cash Management Services Application (for Check writing and                Yes
                           ATM/VISA Debit Card, if applicable)
                           Money Transfer Plan Application (if applicable)                            Yes
                           Option Trading Application (if applicable)                                 Yes
                           Option Trading Risk Disclosure                                                   No


Conservatorship/Guar Required Documents:
       dian            Account Application (completed and signed by the                               Yes
                       conservator/guardian; the Social Security Number of the underlying
                       account owner should be used)
                       Court-certified Letter of Guardianship (dated within the last 60 days)               No

                         For optional features:
                           Account Application Supplement                                             Yes
                           Account Transfer Form                                                      Yes
                           Authorization to Mail Proxies to Financial Advisor                         Yes
                           Cash Management Services Application (for Check writing and                Yes
                           ATM/VISA Debit Card, if applicable)
                           Option Trading Application (if applicable)                                 Yes
                           Option Trading Risk Disclosure                                                   No


    Personal Trust      Required Documents:
  (Living/Inter Vivos     Personal Trust Account Application                                          Yes
 Trust; Testamentary    For optional features:
        Trust)            Account Application Supplement                                              Yes
                          Account Transfer Form                                                       Yes
                          Authorization to Mail Proxies to Financial Advisor                          Yes
                          Cash Management Services Application (for Check writing and                 Yes
                          ATM/VISA Debit Card, if applicable)
Trust; Testamentary
       Trust)




                        Margin Agreement/Loan Consent (if applicable, item #5 on the TCIP         Yes
                        Form must also be completed)
                        Money Transfer Plan Application (if applicable)                           Yes
                        NASD Margin Disclosure                                                          No
                        Option Trading Application (if applicable)                                Yes
                        Option Trading Risk Disclosure                                                  No


      Estate          Required Documents:
                        Account Application                                                       Yes
                        Account Transfer Form                                                     Yes
                        Affidavit of Domicile (notarized)                                         Yes
                        Copy of Death Certificate (for the purpose of establishing a new                No
                        account, the Death Certificate need not be certified)
                        Letter of Testamentary (must be dated within the last 60 days and               No
                        under seal of the court)
                      For optional features:
                        Authorization to Mail Proxies to Financial Advisor                        Yes


  Traditional IRA     Required Documents:
                        IRA Account Application (Traditional/Roth/Rollover)                       Yes
                        IRA Custodial Agreements (Traditional IRA and Roth) (It is                      No
                        mandatory for the customer to receive the IRA Custodial Agreement
                        with the IRA Application)
                      For optional features:
                        Account Application Supplement                                            Yes
                        Account Transfer Form                                                     Yes
                        Authorization to Mail Proxies to Financial Advisor                        Yes
                        Beneficiary Designation (used to change Beneficiary)                      Yes
                        IRA Periodic Payment Update Form                                          Yes
                        IRAccess Application                                                      Yes
                        Money Transfer Plan Application (if applicable, for outgoing transfers,   Yes
                        your clients must include a IRA Distribution/Withholding Form and a
                        voided check from the receiving account)

                        Option Trading Application (if applicable)                                Yes
                        Option Trading Risk Disclosure                                                  No


     Roth IRA         Required Documents:
                        IRA Account Application (Traditional/Roth/Rollover)                       Yes
                        IRA Custodial Agreements (Traditional IRA and Roth) (It is                      No
                        mandatory for the customer to receive the IRA Custodial Agreement
                        with the IRA Application)
                      For optional features:
                        Account Application Supplement                                            Yes
                        Account Transfer Form                                                     Yes
                        Authorization to Mail Proxies to Financial Advisor                        Yes
                        Beneficiary Designation (used to change Beneficiary)                      Yes
                        IRA Periodic Payment Update Form                                          Yes
                         Money Transfer Plan Application (if applicable, for outgoing transfers,   Yes
                         your clients must include a IRA Distribution/Withholding Form and a
                         voided check from the receiving account)

                         Option Trading Application (if applicable)                                Yes
                         Option Trading Risk Disclosure                                                  No


   Rollover IRA       Required Documents:
                        IRA Account Application (Traditional/Roth/Rollover)                        Yes
                        IRA Custodial Agreements (Traditional IRA and Roth) (It is                       No
                        mandatory for the customer to receive the IRA Custodial Agreement
                        with the IRA Application)
                      For optional features:
                        Account Application Supplement                                             Yes
                        Account Transfer Form                                                      Yes
                        Authorization to Mail Proxies to Financial Advisor                         Yes
                        Beneficiary Designation (used to change Beneficiary)                       Yes
                        IRA Periodic Payment Update Form                                           Yes
                        IRAccess Application                                                       Yes
                        Money Transfer Plan Application (if applicable, for outgoing transfers,    Yes
                        your clients must include a IRA Distribution/Withholding Form and a
                        voided check from the receiving account)

                         Option Trading Application (if applicable)                                Yes
                         Option Trading Risk Disclosure                                                  No


Coverdell Education   Required Documents:
Savings (Education      Coverdell Education Savings Account Application                            Yes
       IRA)             Coverdell Education Savings Account Custodial Agreement                          No
                      For optional features:
                        Account Application Supplement                                             Yes
                        Account Transfer Form                                                      Yes
                        Authorization to Mail Proxies to Financial Advisor                         Yes
                        Option Trading Application (if applicable)                                 Yes
                        Option Trading Risk Disclosure                                                   No


     SEP IRA          Required Documents:
                        IRA Account Application                                                    Yes
                        IRS 5305-SEP                                                               Yes
                      For optional features:
                        Account Application Supplement                                             Yes
                        Account Transfer Form                                                      Yes
                        Authorization to Mail Proxies to Financial Advisor                         Yes
                        IRA Periodic Payment Update Form                                           Yes
                        Money Transfer Plan Application (if applicable, for outgoing transfers,    Yes
                        your clients must include a IRA Distribution/Withholding Form and a
                        voided check from the receiving account)
                         Option Trading Application (if applicable)                             Yes
                         Option Trading Risk Disclosure                                               No


   Simple IRA         Required Documents:
                        IRA Account Application                                                 Yes
                        IRS 5305-SA                                                             Yes
                        IRS 5304-SIMPLE                                                         Yes
                        OR
                        IRS 5305-SIMPLE                                                         Yes
                      For optional features:
                        Account Application Supplement                                          Yes
                        Account Transfer Form                                                   Yes
                        Authorization to Mail Proxies to Financial Advisor                      Yes
                        Beneficiary Designation (used to change Beneficiary)                    Yes
                        IRA Periodic Payment Update Form                                        Yes
                        Option Trading Application (if applicable)                              Yes
                        Option Trading Risk Disclosure                                                No


Profit Sharing Plan   Required Documents:
       (PSP)             Complete Guide to Opening a Qualified Retirement Plan Account                No
                         Participant Application and Designation of Beneficiary for Qualified   Yes
                         Plans
                         Qualified Retirement Plan Basic Plan Document                                No
                         Qualified Retirement Plan EGGTRA Amendment                                   No
                         Qualified Retirement Plan Summary Plan Description Booklet                   No
                      And either:
                         Profit Sharing Plan Adoption Agreement (Simplified Version)            Yes
                         (completed by the Employer)
                         Profit Sharing Plan Adoption Agreement Instructions (Simplified              No
                         Version)
                         Profit Sharing Plan General Information Sheet (Simplified Version)
                      Or
                         Profit Sharing Plan Adoption Agreement (Expanded Version)              Yes
                         (completed by the Employer)
                         Profit Sharing Plan Adoption Agreement Instructions (Expanded                No
                         Version)
                                                                                                Yes
                         Profit Sharing Plan General Information Sheet (Expanded Version)
                      For optional features:
                        Account Transfer Form                                                   Yes
                        Authorization to Mail Proxies to Financial Advisor


   401 (k) Plan       Required Documents:
                        401(k) Adoption Agreement Instructions                                        No
                        401(k) EGGTRA Model Amendment Kit                                       Yes
                        401(k) General Information Sheet                                        Yes
                                                                                                Yes
                         401(k) Summary Plan Description                                              No
     401 (k) Plan




                            Complete Guide to Opening a Qualified Retirement Plan Account                No
                            Defined Contribution Plan (For Use With Pre-Approved TPA Only)               No

                           Participant Application and Designation of Beneficiary for Qualified    Yes
                           Plans
                           Qualified Retirement Plan Basic Plan Document                                 No
                         For optional features:
                           Account Transfer Form                                                   Yes
                           Authorization to Mail Proxies to Financial Advisor                      Yes


Individual 401(k) Plan   Required Documents:
                           401(k) Adoption Agreement Instructions                                        No
                           401(k) EGGTRA Model Amendment Kit                                       Yes
                           401(k) General Information Sheet                                        Yes
                           401(k) Plan Adoption Agreement (completed by Employer)                  Yes
                           401(k) Summary Plan Description                                               No
                           Complete Guide to Opening a Qualified Retirement Plan Account                 No
                           Defined Contribution Plan (For Use With Pre-Approved TPA Only)                No

                           Participant Application and Designation of Beneficiary for Qualified    Yes
                           Plans
                           Qualified Retirement Plan Basic Plan Document                                 No
                           Individual 401(k) Adoption Agreement(completed by Employer)             Yes
                           Individual 401(k) Adoption Agreement Instructions                             No
                           Individual 401(k) General Information Sheet                             Yes
                           Individual 401(k) Summary Plan Description (Booklet)                          No
                           Participant Application and Designation of Beneficiary for Qualified    Yes
                           Plans
                           Qualified Retirement Plan Basic Plan Document                                 No
                         For optional features:
                           Account Transfer Form                                                   Yes
                           Authorization to Mail Proxies to Financial Advisor                      Yes


  Money Purchase         Required Documents:
Pension Plan (MPPP)         Complete Guide to Opening a Qualified Retirement Plan Account                No
                            Participant Application and Designation of Beneficiary for Qualified   Yes
                            Plans
                            Qualified Retirement Plan Basic Plan Document                                No
                            Qualified Retirement Plan EGGTRA Amendment                                   No
                            Qualified Retirement Plan Summary Plan Description Booklet                   No
                         And either:
                            Money Purchase Pension Plan Adoption Agreement (Simplified             Yes
                            Version) (completed by the Employer)
                            Money Purchase Pension Plan Adoption Agreement Instructions                  No
                            (Simplified Version)
                            Money Purchase Pension Plan General Information Sheet (Simplified      Yes
                            Version)
                         Or
                      Money Purchase Pension Plan Adoption Agreement (Expanded                Yes
                      Version) (completed by the Employer)
                      Money Purchase Pension Plan Adoption Agreement Instructions                   No
                      (Expanded Version)
                      Money Purchase Pension Plan General Information Sheet (Expanded         Yes
                      Version)
                    For optional features:
                      Account Transfer Form                                                   Yes
                      Authorization to Mail Proxies to Financial Advisor                      Yes


 403(b) Custodial   Required Documents:
Brokerage Account     403(b) Plan Documents & Account Application (completed by the           Yes
                      Employee)
                      Limited Power of Attorney (if applicable)                               Yes
                    For optional features:
                      Account Transfer Form                                                   Yes
                      Authorization to Mail Proxies to Financial Advisor                      Yes


    Corporate       Required Documents:
                      Account Application                                                     Yes
                      Corporation Agreement The company's corporate seal is required;if       Yes
                      no corporate seal exists, this form must be notarized certifying the
                      absence of a seal
                      Resolution (Corporation) Required only if your clients are depositing   Yes
                      certificates into their accounts
                    For optional features:
                      Account Application Supplement                                          Yes
                      Account Transfer Form                                                   Yes
                      Authorization to Mail Proxies to Financial Advisor                      Yes
                      Cash Management Services Application (if applicable)                    Yes
                      Margin Agreement/Loan Consent (if applicable)                           Yes
                      Money Transfer Plan Application (if applicable)                         Yes
                      NASD Margin Disclosure                                                        No
                      Option Trading Application (if applicable)                              Yes
                      Option Trading Risk Disclosure                                                No


   Partnership      Required Documents:
                      Account Application (must include the Tax Identification Number for     Yes
                      the partnership)
                      Partnership or Investment Club Account (must be completed and           Yes
                      signed by all partners)
                    For optional features:
                      Account Application Supplement                                          Yes
                      Account Transfer Form                                                   Yes
                      Authorization to Mail Proxies to Financial Advisor                      Yes
                      Cash Management Services Application (if applicable)                    Yes
                      Margin Agreement/Loan Consent (if applicable)                           Yes
                      Money Transfer Plan Application (if applicable)                         Yes
                        NASD Margin Disclosure                                       No
                        Option Trading Application (if applicable)             Yes
                        Option Trading Risk Disclosure                               No


Sole Proprietorship   Required Documents:
                        Account Application                                    Yes
                        Sole Ownership (notarized)                                   No
                      For optional features:
                        Account Application Supplement                         Yes
                        Account Transfer Form                                  Yes
                        Authorization to Mail Proxies to Financial Advisor     Yes
                        Cash Management Services Application (if applicable)   Yes
                        Margin Agreement/Loan Consent (if applicable)          Yes
                        Money Transfer Plan Application (if applicable)        Yes
                        NASD Margin Disclosure                                       No
                        Option Trading Application (if applicable)             Yes
                        Option Trading Risk Disclosure                               No

								
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