ACCOUNT APPLICATION BOOKLET
Corporation
n Limited Liability Company
n Partnership
n Trust
n Sole Proprietorship
n
*103997*
Welcome.
REQUIRED FORMS
How to Open Your
TradeStation Account
oRisk Disclosure Statement
For Futures and Options on Futures accounts only.
Please complete this application in its entirety by
typing your answers and information in the appropriate
fields. You can save your progress at any point. Once
completed, simply print and sign the application before
sending it to us. You will need the latest version of
the free Adobe Acrobat reader (http://get.adobe.com/
reader/) to use the interactive features on this form.
Alternatively you can print then complete the entire form
using blue or black ink. Please do not use white-out.
To ensure that your account is opened as quickly and
easily as possible, please use the check boxes on the
right to make sure you’ve completed all applicable
oDual Account Application
For Residents of E.E.A. countries only.
oAdditional Risk Disclosure Statement
For Futures accounts only, if you are under age 21 or over age 65, your annual income is less than $50,000, your net worth is less than $25,000, or you do not have at least six months, as applicable, of Futures trading experience.
oAccount Application
For all accounts
oCertificate of Corporate Secretary
If you are opening a Corporate Account or a Partnership or LLC Account where the general partner or managing member is a corporation.
oCertificate of Managing Member, Manager or Officer of LLC
If you are opening a Limited Liability CompanyAccount or a Partnership Account where the general partner is an LLC.
forms before returning this booklet.
oCertificate of Trustees
If you are opening a Trust Account.
Visit our website to view the funding instructions. If
oCertificate of General Partner
If you are opening a Partnership Account.
you have any questions, please call us toll-free at
800.871.3577 or 954.652.7920.
Please return your completed application and
additional documentation to TradeStation via email or
regular mail:
oSole Proprietorship Certification
If you would like to open your account in the name of a Sole Proprietorship.
oW-8BEN Form
If you do not have a valid U.S. social security number or tax ID number.
IDENTITY VERIFICATION FOR NON-U.S. RESIDENTS
1) Email: [email protected]
2) Post to the following Address:
TradeStation New Accounts
8050 SW 10th Street, Suite 2000
Plantation, FL 33324, USA
oCopy of Passport
oAddress Verification Documents
A document such as a recent utility bill or bank statement.
0517
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing broker to
TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
1
For Residents of the European Economic
Area Countries
Account Application
If you are a resident of the European Economic Area, this Account Application and Agreements are for the provision of:
(1) introducing services by TradeStation Europe Limited (“TradeStation Europe”); and
(2) brokerage and trading services by TradeStation Securities Inc., hereafter referred to as “TradeStation”.
TradeStation Europe will introduce you to TradeStation Group, Inc.’s affiliates and provide limited customer support, including the occasional reception
and transmission of your orders to TradeStation (however, we strongly recommend that you always first contact TradeStation directly for this customer
support in order for you to receive a more efficient service). Your application will be assessed by TradeStation Europe who will consider if you are
suitable under the rules of the Financial Conduct Authority (“FCA”) while TradeStation will make the ultimate decision as per the approval of the
brokerage account in accordance with their rules and regulations.
TRADESTATION EUROPE AND TRADESTATION WILL ONLY CONDUCT BUSINESS WITH CLIENTS FOR WHOM SUCH BUSINESS IS APPROPRIATE,
WHICH REQUIRES AN ASSESSMENT BASED ON THE INFORMATION PROVIDED BY YOU IN THIS ACCOUNT APPLICATION. TRADESTATION
EUROPE WILL NOT CONDUCT BUSINESS WITH ANYONE WHO DOES NOT HAVE SUFFICIENT KNOWLEDGE AND EXPERIENCE OF THE RISKS
INVOLVED IN RELATION TO THE PRODUCTS THEY WISH TO TRADE. IN ADDITION, TRADESTATION EUROPE WILL BASE ITS CLASSIFICATION OF
CLIENTS FOR REGULATORY PURPOSES ON THE INFORMATION PROVIDED BY THEM IN THIS ACCOUNT APPLICATION. FOR THESE REASONS,
IT IS ESSENTIAL THAT YOU IMMEDIATELY ADVISE US IN WRITING (FAX OR E-MAIL TRANSMISSION IS ACCEPTABLE) IF THERE IS SUBSEQUENTLY
ANY CHANGE IN THE INFORMATION WHICH YOU HAVE PROVIDED.
This Account Application and Agreement, together with all of the agreements, acknowledgements, representations, warranties, notices,
disclaimers and assumptions of risk which it contains or incorporates by reference to other documents that are part of this application package,
as any of the foregoing may from time to time be modified or amended by TradeStation and/or TradeStation Europe by posting any such modifications
or amendments on the www.tradestation.com or www.tradestation-international.com Web site (the “Web Site”), or by e-mail, postcard, regular mail
or by any other reasonable method of notice to you (collectively, the “Agreement”), sets forth your agreement with TradeStation Securities,
Inc. and its affiliates, including, but not limited to, TradeStation Technologies, Inc. Your access to and use of your account, and the services
provided by TradeStation, and all services provided by its affiliates, are subject to this Agreement (or the applicable portion thereof). PLEASE READ
ALL DOCUMENTS CAREFULLY AND COMPLETE ALL SECTIONS OF THIS ACCOUNT APPLICATION. The Agreement, including each
document that is a part hereof, constitutes a legally binding commitment made by you in favour of TradeStation and any of its affiliates.
IF YOU REQUIRE ANY ASSISTANCE IN COMPLETING THIS ACCOUNT APPLICATION OR HAVE ANY QUESTIONS, PLEASE CALL TOLL FREE 00800
242 78190 FOR EEA CUSTOMERS*. ALTERNATIVELY, PLEASE E-MAIL [email protected].
*If you reside in the following countries: Bulgaria, Cyprus, Czech Republic, Iceland, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Norway,
Slovakia and Slovenia, please call 001 954 652 7677.
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing broker to
TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK
2
For Residents of the European Economic
Area Countries
Evidence of Identity and Address
FOR THE PURPOSES OF UK ANTI-MONEY LAUNDERING REGULATIONS, PLEASE NOTE THAT WE WILL CARRY
OUT AN ELECTRONIC SEARCH OF PUBLIC RECORDS THROUGH A CREDIT REFERENCE AGENCY TO VERIFY YOUR
IDENTITY AND ADDRESS.
YOUR APPLICATION WILL ALSO NEED TO SATISFY TRADESTATION’S REQUIREMENTS TO SATISFY U.S.
ANTI-MONEY LAUNDERING REGULATIONS.
FOR THESE PURPOSES, PLEASE FORWARD A COPY OF A DOCUMENT FROM LIST A AND A COPY OF A DOCUMENT
FROM LIST B WITH THIS ACCOUNT APPLICATION:
List A – Proof of identity*
List B - Proof of address
• Current signed passport
• EEA member state identity card
• Current EEA or UK photocard driving licence or a blue disabled
driver’s pass
• Utility bill (NOT a mobile phone bill) within the last 3 months
• Council tax bill for UK within the last 3 months (NOT a notification) or the
equivalent for the rest of EEA countries
• Bank statement within the last 3 months
• Current EEA or UK photocard driving licence or a blue disabled driver’s pass
*DO NOT SEND ORIGINAL DOCUMENTS. Copies of identity documents should be sent with this Account Application to TradeStation Europe Limited.
Please indicate which type of photo ID evidence you are providing:
Primary Authorized Representative
Photo ID # ___________________ q Driver’s License q Passport
q Alien Registration
q Other Government-issued ID evidencing nationality
Data Protection and Privacy
FOR THE PURPOSE OF UK DATA PROTECTION LAW, TRADESTATION
EUROPE IS REQUIRED TO INFORM YOU HOW IT AND ITS AFFILIATES,
INCLUDING TRADESTATION SECURITIES, PROCESS YOUR PERSONAL
DATA. PLEASE READ THIS SECTION CAREFULLY AND CHECK THE BOX,
IF APPLICABLE.
TradeStation Europe Limited collects the personal information provided by you in
order to introduce and pass your information along to TradeStation’s divisions and
affiliates, including, but not limited to, TradeStation Securities, Inc. and TradeStation
Technologies, Inc., (“TradeStation”) who will use this personal information to deliver
its brokerage, trading and related services. Such services include opening and
maintaining accounts, reporting and processing transactions requested by
you, providing trading software and market data services, and administering its
business.
SW 10th Street, Suite 2000, Plantation, Florida 33324, the United States of America
where the laws do not provide the same level of protection for personal data as
the laws in Europe. However, TradeStation Europe Limited and TradeStation are
committed to protecting the confidentiality and security of information they collect
about you. Both companies employ appropriate technical and organizational
security measures to protect your personal information from unauthorized access.
TradeStation Europe Limited and TradeStation may disclose the personal
information you provide to affiliated and non-affiliated third parties as set out in
their joint Privacy Policy which can be viewed at www.tradestation.com.
By signing the Agreement, you confirm that you have read and accept the
terms of our Privacy Policy, which sets out how we will use your personal
information.
TradeStation is located in the State of Florida, the United States of America, at 8050
Please tick if you do not wish to be contacted by post or email q
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing broker
to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
3
Risk Disclosure Statement for Futures
and Futures Options
Futures & Futures Options
The risk of loss in trading commodity futures contracts can be substantial.
You should, therefore, carefully consider whether such trading is suitable for
you in light of your circumstances and financial resources. You should be
aware of the following points:
(1) You may sustain a total loss of the funds that you deposit with your broker to
establish or maintain a position in the commodity futures market, and you may incur
losses beyond these amounts. If the market moves against your position, you may be
called upon by your broker to deposit a substantial amount of additional margin funds,
on short notice, in order to maintain your position. If you do not provide the required
funds within the time required by your broker, your position may be liquidated at a loss,
and you will be liable for any resulting deficit in your account.
(2) The funds you deposit with a futures commission merchant for trading futures
positions are not protected by insurance in the event of the bankruptcy or insolvency
of the futures commission merchant, or in the event your funds are misappropriated.
(3) The funds you deposit with a futures commission merchant for trading futures
positions are not protected by the Securities Investor Protection Corporation even
if the futures commission merchant is registered with the Securities and Exchange
Commission as a broker or dealer.
(4) The funds you deposit with a futures commission merchant are generally not
guaranteed or insured by a derivatives clearing organization in the event of the
bankruptcy or insolvency of the futures commission merchant, or if the futures
commission merchant is otherwise unable to refund your funds. Certain derivatives
clearing organizations, however, may have programs that provide limited insurance
to customers. You should inquire of your futures commission merchant whether your
funds will be insured by a derivatives clearing organization and you should understand
the benefits and limitations of such insurance programs.
(5) The funds you deposit with a futures commission merchant are not held by the
futures commission merchant in a separate account for your individual benefit. Futures
commission merchants commingle the funds received from customers in one or more
accounts and you may be exposed to losses incurred by other customers if the futures
commission merchant does not have sufficient capital to cover such other customers’
trading losses.
(6) The funds you deposit with a futures commission merchant may be invested by
the futures commission merchant in certain types of financial instruments that have
been approved by the Commission for the purpose of such investments. Permitted
investments are listed in Commission Regulation 1.25 and include: U.S. government
securities; municipal securities; money market mutual funds; and certain corporate
notes and bonds. The futures commission merchant may retain the interest and other
earnings realized from its investment of customer funds. You should be familiar with the
types of financial instruments that a futures commission merchant may invest customer
funds in.
(9) Under certain market conditions, you may find it difficult or impossible to liquidate a
position. This can occur, for example, when the market reaches a daily price fluctuation
limit (“limit move”).
(10) All futures positions involve risk, and a “spread” position may not be less risky than
an outright “long” or “short” position.
(11) The high degree of leverage (gearing) that is often obtainable in futures trading
because of the small margin requirements can work against you as well as for you.
Leverage (gearing) can lead to large losses as well as gains.
(12) In addition to the risks noted in the paragraphs enumerated above, you should
be familiar with the futures commission merchant you select to entrust your funds for
trading futures positions. The Commodity Futures Trading Commission requires each
futures commission merchant to make publicly available on its Web site firm specific
disclosures and financial information to assist you with your assessment and selection
of a futures commission merchant. Information regarding this futures commission
merchant may be obtained by visiting our Web site, www.tradestation.com
ALL OF THE POINTS NOTED ABOVE APPLY TO ALL FUTURES TRADING WHETHER
FOREIGN OR DOMESTIC. IN ADDITION, IF YOU ARE CONTEMPLATING TRADING
FOREIGN FUTURES OR OPTIONS CONTRACTS, YOU SHOULD BE AWARE OF THE
FOLLOWING ADDITIONAL RISKS:
(13) Foreign futures transactions involve executing and clearing trades on a foreign
exchange. This is the case even if the foreign exchange is formally “linked” to a
domestic exchange, whereby a trade executed on one exchange liquidates or
establishes a position on the other exchange. No domestic organization regulates
the activities of a foreign exchange, including the execution, delivery, and clearing of
transactions on such an exchange, and no domestic regulator has the power to compel
enforcement of the rules of the foreign exchange or the laws of the foreign country.
Moreover, such laws or regulations will vary depending on the foreign country in which
the transaction occurs. For these reasons, customers who trade on foreign exchanges
may not be afforded certain of the protections which apply to domestic transactions,
including the right to use domestic alternative dispute resolution procedures. In
particular, funds received from customers to margin foreign futures transactions may
not be provided the same protections as funds received to margin futures transactions
on domestic exchanges. Before you trade, you should familiarize yourself with the
foreign rules which will apply to your particular transaction.
(14) Finally, you should be aware that the price of any foreign futures or option contract
and, therefore, the potential profit and loss resulting therefrom, may be affected by
any fluctuation in the foreign exchange rate between the time the order is placed and
the foreign futures contract is liquidated or the foreign option contract is liquidated or
exercised.
THIS BRIEF STATEMENT CANNOT, OF COURSE, DISCLOSE ALL THE RISKS AND
OTHER ASPECTS OF THE COMMODITY MARKETS.
(7) Futures commission merchants are permitted to deposit customer funds with
affiliated entities, such as affiliated banks, securities brokers or dealers, or foreign
brokers. You should inquire as to whether your futures commission merchant deposits
funds with affiliates and assess whether such deposits by the futures commission
merchant with its affiliates increases the risks to your funds.
(8) You should consult your futures commission merchant concerning the nature of
the protections available to safeguard funds or property deposited for your account.
I hereby acknowledge that I have received and understood this risk disclosure statement.
NOTE: FOR JOINT ACCOUNTS, TWO (2) AUTHORIZED SIGNATURES ARE REQUIRED. FOR ENTITY OR TRUST ACCOUNTS, ALL AUTHORIZED OFFICERS OR TRUSTEES ARE
REQUIRED TO SIGN.
Account Signature
Date
Print Authorized Signor’s Name and Title
Account Signature
Date
Print Authorized Signor’s Name and Title
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
4
Additional Risk Disclosure Statement
FUTURES
Dear Sir or Madam:
TradeStation Securities, Inc. (“TradeStation”) is providing you with this additional risk disclosure before you open a Futures trading account,
because one or more of the following applies to you:
•
•
•
•
•
Your annual income is less than $50,000
Your net worth is less than $25,000
You are under age 21
You are over age 65
You do not have at least six months of futures trading experience
While TradeStaton is prepared to open your account(s), we first advise you to consider the risks involved with futures trading. The risk of loss in
futures trading can be substantial and may be inappropriate for any of the reasons referenced above; therefore, you must consider whether such
trading is proper in light of your financial condition. Only risk capital (money that you are able to lose without adversely affecting your standard of
living) should be invested. TradeStation recommends that you review the risk disclosure statements referred to in the Account Application and
Agreement and discuss any concerns with your financial advisor(s) before finalizing your decision.
TradeStation’s margin policies may require that additional funds be provided to properly meet margin requirements. Failure to maintain the minimum
margin requirement may result in the liquidation of any open positions with resultant loss to customer.
ACKNOWLEDGEMENT
I understand that the risks associated with futures trading are often not appropriate for people in my situation. However, I have read the risk
disclosure statements referenced in the Account Application and Agreement and I have considered the financial risks involved in futures trading
with regard to my financial condition, and I believe futures trading is appropriate to my situation and wish to proceed with opening an account(s).
Signature of Customer
Title
Date
Title
Date
Print Name
Signature of Customer
Print Name
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing broker
to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
5
Account Application
REQUIRED
This Account Application and Agreement, together with all of the agreements, acknowledgments, representations, warranties, notices, disclaimers and
assumptions of risk which it contains or incorporates by reference to other documents that are part of this application package, as any of the foregoing may
from time to time be modified or amended by TradeStation by posting any such modifications or amendments on the www.tradestation.com Web site (the
“Web Site”), or by e-mail, postcard, regular mail or by any other reasonable method of notice to you (“Account Owner”) (collectively, the “Agreement”), sets
forth your agreement with TradeStation’s divisions and affiliates, including, but not limited to, TradeStation Securities, Inc. and TradeStation Technologies, Inc.
Your access to and use of your account, and the services provided by TradeStation, and all services provided by its affiliates, are subject to this Agreement
(or the applicable portion thereof). PLEASE READ ALL DOCUMENTS CAREFULLY. The Agreement, including each document that is a part thereof, constitutes a
legally binding commitment made by you in favor of TradeStation and its affiliates. The following Trading Experience is representative of the Primary Authorized
Representative.
In order to expedite your account opening process, if you have been working with a Representative, please enter that person’s name below:
Representative’s Name:...............................................................................Promotional Code:.......................................................................................
Please select the account type you would like to open within the next 90 days:
For Equities accounts only:
Please select your Equity account commission schedule:
o Equities
o Futures
This is an important decision that should be made by you after careful analysis of the fee commission choices found at TradeStation.com. If you do not mark a box, your equity account commission
schedule will be set up on Per-Trade basis.
o Per-Share o Per-Trade
For Futures accounts only: What type of futures trading will you be doing with this account?
If you do not make a selection below, your futures account will be coded for Electronic Trading Only which means
that you intend to trade directly via the TradeStation Platform.
o Electronic trading only
o Futures Options trading
(Trading through an external online application that has been interfaced with the TradeStation
(Trading directly through the TradeStation Platform.)
Platform. NOTE: Electronic contracts may also be traded through the external application. This means you will be doing all trading through the external application unless you open a second account to trade electronic futures through the TradeStation Platform.)
P r im a r y A c c o unt Owner Info r m at i o n
Full Title of Account
Street Address
City
State/Province
State/Country of Organization
Date of Formation
Annual Income in USD:
o If under $50,000,
specify
o $50,000-$99,999
Zip
Country
U.S. Tax I.D. # or other government identification #
Type of Business
Total Net Worth in USD (excluding residence):
o $100,000-$249,999
o $250,000-$999,999
o Over $1 million
Liquid Net Worth in USD:
This includes all checking, savings, real estate holdings, and other
assets, minus all obligations, debts and liabilities.
This includes cash and marketable securities, minus all obligations,
debts and liabilities.
o If under $50,000,
specify
o If under $25,000,
specify
o $50,000-$74,999
o $75,000-$99,999
o $100,000-$199,999
o $200,000-$499,999
o $500,000-$999,999
o $1,000,000-$4,999,999
o Over $5 million
o $25,000-$49,999
o $50,000-$74,999
o $75,000-$99,999
o $100,000-$199,999
o $200,000-$499,999
o $500,000-$999,999
o $1,000,000$4,999,999
o Over $5 million
0716
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
6
Account Application
REQUIRED
A c c oun t Owner Info r m at i o n ( Co nt i nued )
Current Bank Reference
City
State
If this is a foreign account, please provide the account number
Does the Account Owner control or have a financial interest in any other account with TradeStation?
o No
o Yes (If Yes, please list)
Provide a list of all of the principals and beneficial owners including ownership percentage for each. Should equal 100%:
NAME
OWNERSHIP %
.................................................................................................................
....................................................
......................................................................................................................
....................................................
......................................................................................................................
....................................................
......................................................................................................................
....................................................
......................................................................................................................
....................................................
Total 100%
If this is a U.S. corporation, please specify:
o C Corporation
o S Corporation
Does the entity receive customer funds directly for the purpose of investing?
o No
o Yes
Does the entity have or solicit US investors? (For futures accounts only.)
o No
o Yes If yes, please provide the NFA ID# for your Commodity Pool Registration or Exemption filing.
NFA ID#:
0716
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
7
Account Application
REQUIRED
P r im a r y A u t hor iz e d R e p r e sent at i ve Info r m at i o n / A sso c i at ed Per so n #1
Name of Primary Authorized Representative (officer, general partner, member or trustee)
Social Security #
Date of birth
Title at organization/trust
Citizenship
U.S. residents: Driver’s License #(or another form of government-issued ID)
Type of ID: o Driver’s License
o Passport
o Other:
State of issue:
Foreign residents: Please send a photocopy of your passport and indicate its corresponding number. Also, please include address verifcation such as a
driver’s license, utility bill, state ID, bank statement, or lease contract.
Home Address
City
State/Province)
Zip
Country
Home Phone
Business Phone
Cellular/Portable Phone Number
Fax Number
E-mail Address
Marital Status: o Single
o Married
Annual Income $
Net Worth (excluding residence) $
Employment status o Employed o Self-Employed o Retired
o Unemployedo Student
o Homemaker
Type of business
Name of Employer
Employer’s Address
Title
Source of income
o Salary o Gift o Inheritance o Insurance proceeds o Legal settlement o Savings/Investments/Real Estate o Other
Years there
(specify)
Are you employed by or associated with an NYSE, FINRA and/or NFA registered brokerage firm or an exchange?
yes, you must include a letter from the firm granting authorization for you to open an account with TradeStation. It should be on
o No o Yes Ifcorporate
letterhead and signed by a principal or compliance officer of the firm.
Are you a director, 10% shareholder or policy-making officer of a publicly-owned company?
o No
o Yes
If Yes, please list trading symbol:
Tr ad i ng E xper i enc e
EQUITIES
No. of years trading
oN
one
o If under 1,
specify
o 1-2
o 2+
OPTIONS
Avg. trades per month No. of years trading
oN
one
oN
one
o If under 1,
o 1-5
specify
o 6-25
o 1-2
o 26-100+
o 2+
CFDS OR FINANCIAL SPREAD TRADING
No. of years trading
Avg. trades per month
oN
one
oN
one
o If under 1,
o 1-5
specify
o 6-25
o 1-2
o 26-100+
o 2+
Avg. trades per month
oN
one
o 1-5
o 6-25
o 26-100+
FUTURES
No. of years trading
one
oN
o If under 1,
specify
o 1-2
o 2+
Avg. trades per month
oN
one
o 1-5
o 6-25
o 26-100+
F o r E E A R esi d enc e
FOREX
No. of years trading
oN
one
o If under 1,
specify
o 1-2
o 2+
Avg. trades per month
oN
one
o 1-5
o 6-25
o 26-100+
0716
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
8
Associated Person
Corporate / Partnership / Trust
LLC / Sole Proprietorship
An associated person is any individual who has the power or authority to directly or indirectly control the account (e.g., trustee, general partner, corporate
officer (including an officer of a corporate general partner), LLC manager, managing member or officer (including a manager, managing member or officer of
an LLC general partner), or person who directly or indirectly owns any part of the beneficial interests in the entity, etc). The following information must be filled
in for each associated person for the account being opened.
Asso c i at ed Per so n #2
Name of Primary Authorized Representative (officer, general partner, member or trustee)
Title at organization/trust
Home Address
City
State (U.S.)
Home Phone
Business Phone
Citizenship
U.S. Social Security #
Zip
Country
Province
E-mail Address
Date of Birth
Annual Income $
Marital Status
o Single o Married
Net Worth (excluding residence) $
Employment status
o Employed o Self-Employed o Retired
o Unemployedo Student
o Homemaker
Name of employer
Title
Years there
Type of Business
Employer’s Address
Source of income
o Salary o Gift o Inheritance o Insurance proceeds o Legal settlement o Savings/Investments/Real Estate o Other
(specify)
Are you a director, 10% shareholder or policy-making officer of a publicly-owned company?
o No o Yes If Yes, please list trading symbol:
Are you employed by or associated with an NYSE, FINRA and/or NFA registered brokerage firm or an exchange?
you must include a letter from the firm granting authorization for you to open an account with TradeStation.
o No o Yes IfIt yes,
should be on corporate letterhead and signed by a principal or compliance officer of the firm.
U.S. persons: Driver’s License # (or another form of government-issued ID):
Type of ID:
o Driver’s License o Passport o Other:
State of issue:
Foreign persons: Please send a photocopy of your passport and indicate its corresponding number. Also, please include address verifcation such as a
driver’s license, utility bill, state ID, bank statement, or lease contract
Asso c i at ed Per so n #3
Name of Primary Authorized Representative (officer, general partner, member or trustee)
Title at organization/trust
Home Address
City
State (U.S.)
Home Phone
Business Phone
Citizenship
U.S. Social Security #
Zip
Country
Province
E-mail Address
Date of Birth
Annual Income $
Marital Status
o Single o Married
Net Worth (excluding residence) $
Employment status
o Employed o Self-Employed o Retired
o Unemployedo Student
o Homemaker
Name of employer
Title
Years there
Type of Business
Employer’s Address
Source of income
o Salary o Gift o Inheritance o Insurance proceeds o Legal settlement o Savings/Investments/Real Estate o Other
(specify)
Are you a director, 10% shareholder or policy-making officer of a publicly-owned company?
o No o Yes If Yes, please list trading symbol:
Are you employed by or associated with an NYSE, FINRA and/or NFA registered brokerage firm or an exchange?
you must include a letter from the firm granting authorization for you to open an account with TradeStation.
o No o Yes IfIt yes,
should be on corporate letterhead and signed by a principal or compliance officer of the firm.
U.S. persons: Driver’s License # (or another form of government-issued ID):
Type of ID:
o Driver’s License o Passport o Other:
State of issue:
Foreign persons: Please send a photocopy of your passport and indicate its corresponding number. Also, please include address verifcation such as a
driver’s license, utility bill, state ID, bank statement, or lease contract
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
9
Account Application
Complete if you would like to trade options
OPTIONS
Would you like the ability to trade options with this account?
o Yes
o No
If yes, please provide the following additional information.
Other Investments:
o Real Estate
o Tax Shelters
Investment Objectives:
o Income
o Growth
o Savings
o Trading Profits
Please check one or more of the option strategies you may wish to employ:
o 1. Covered call writing, Protective puts
o 2. Put/call buys, Collars, Covered puts (speculative)
o 3. Put/call spreads (speculative)
o 4. Put writing (speculative), Cash-covered puts (cash accounts only)
o 5. Uncovered call writing (This is a highly speculative activity)
F i nanc i al Info r m at i o n
Annual Income in USD:
o If under $50,000,
specify
o$50,000-$99,999
o $100,000-$249,999
o $250,000-$999,999
o Over $1 million
Total Net Worth in USD (excluding residence):
Liquid Net Worth in USD:
This includes all checking, savings, real estate holdings, and other
assets, minus all obligations, debts and liabilities.
This includes cash and marketable securities, minus all obligations,
debts and liabilities.
 If under $50,000
specify__________
 $50,000-$74,999
 $75,000-$99,999
 $100,000-$199,999
 If under $25,000
specify__________
 $25,000-$49,999
 $50,000-$74,999
 $75,000-$99,999
 $200,000-$499,999
 $500,000-$999,999
 $1,000,000-$4,999,999
 Over $5 million
 $100,000-$199,999
 $200,000-$499,999
 $500,000-$999,999
 $1,000,000-$4,999,999
 Over $5 million
Tr ad i ng E xper i enc e
EQUITIES
No. of years trading
oN
one
o If under 1,
specify
o 1-2
o 2+
OPTIONS
Avg. trades per month No. of years trading
oN
one
oN
one
o If under 1,
o 1-5
specify
o 6-25
o 1-2
o 26-100+
o 2+
CFDS OR FINANCIAL SPREAD TRADING
No. of years trading
Avg. trades per month
oN
one
oN
one
o If under 1,
o 1-5
specify
o 6-25
o 1-2
o 26-100+
o 2+
Avg. trades per month
oN
one
o 1-5
o 6-25
o 26-100+
FUTURES
No. of years trading
one
oN
o If under 1,
specify
o 1-2
o 2+
Avg. trades per month
oN
one
o 1-5
o 6-25
o 26-100+
F o r E E A R esi d enc e
FOREX
No. of years trading
oN
one
o If under 1,
specify
o 1-2
o 2+
Avg. trades per month
oN
one
o 1-5
o 6-25
o 26-100+
Options trading is not suitable for all investors. If you would like the ability to trade options through a TradeStation account, please
click here to view the disclosure document titled Characteristics and Risks of Standardized Options (link to http://www.optionsclearing.com/components/docs/riskstoc.pdf)
NOTE: FOR JOINT ACCOUNTS, TWO (2) AUTHORIZED SIGNATURES ARE REQUIRED. FOR ENTITY OR TRUST ACCOUNTS, ALL AUTHORIZED OFFICERS OR
TRUSTEES ARE REQUIRED TO SIGN.
Account Signature
| Date
Print Authorized Signor’s Name
| Date
Account Signature
| Date
Print Authorized Signor’s Name
| Date
F O R INTE R NA L USE ONLY
Date approved
R.R. Signature
Date approved
ROP Signature
Date disclosure document sent
Date statement of risks for uncovered options writers sent
Approved option levels:
o1 o2 o3 o4 o5
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
10
Personal Guaranty
Corporate / Partnership / Trust
LLC / Sole Proprietorship
T r ust A c c o unt s G r ant o r
If this is a Trust Account, is the Grantor the same person as the Trustee who is the Primary Authorized Representative? o Yes o No
If no, please complete the information requested on the Associated Person form in that application, for the Grantor(s).
P e r s on a l G u a r a n t y fo r Co r po r at i o ns, Par t ner sh i ps and LLCs
This section must be completed and signed by at least one appropriate individual if this account will be in the name of a corporation, partnership or limited
liability company:
Each of the undersigned hereby irrevocably and unconditionally personally guarantees the accuracy and performance of each and every representation, warranty,
covenant and agreement made by the entity which has signed this Agreement. This irrevocable, unconditional, continuing personal guaranty is primary in nature,
and covers each and every representation, warranty, covenant and agreement made by the Account Owner in this Agreement (including every agreement
or other document that is a part of this Agreement or that is agreed to or accepted by or on behalf of the Account Owner). Each of the undersigned hereby
acknowledges that TradeStation Securities, Inc. (“TradeStation”) would not have opened a brokerage account for the Account Owner absent this irrevocable,
unconditional, primary, continuing personal guarantee.
Guarantor’s Name
Guarantor’s Signature
Date
Is the Guarantor the Primary Authorized Representative or an Associated Person listed in this application?
o Yes
o No If No, please complete the information below.
Home Address
City
State (U.S.)
Citizenship
Date of Birth
Guarantor’s Name
Zip
Country
Province
Home Phone
Social Security #
Guarantor’s Signature
Date
Is the Guarantor the Primary Authorized Representative or an Associated Person listed in this application?
o No If No, please complete the information below.
o Yes
Home Address
City
State (U.S.)
Citizenship
Date of Birth
Guarantor’s Name
Zip
Country
Province
Home Phone
Social Security #
Guarantor’s Signature
Date
Is the Guarantor the Primary Authorized Representative or an Associated Person listed in this application?
o No If No, please complete the information below.
o Yes
Home Address
City
State (U.S.)
Citizenship
Date of Birth
Zip
Country
Province
Home Phone
Social Security #
Questions? Call 1-800-871-3570 or 954-652-7920
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
11
TradeStation Account Application
REQUIRED
The following sets forth your agreement with TradeStation’s divisions and affiliates, including, but not limited to, TradeStation Securities, Inc. and TradeStation Technologies,
Inc., (“TradeStation”).
þM
inimum Activity Fee for Equities & Futures Accounts Only –
­ $99.95 per month
The Minimum Activity Fee is for servicing and maintaining your brokerage account(s) and will be charged shortly after funding of your brokerage account. Equities accounts
trading 5,000 or more shares in the previous calendar month, Options accounts executing 50 or more contracts in the previous calendar month, Futures accounts trading 10
or more round-turn contracts in the previous calendar month, and Securities, Options or Futures accounts with a balance of $100,000 or more on the last day of the previous
calendar month, shall not be charged the Minimum Activity Fee, or RadarScreen® or OptionStation® monthly fees (if applicable), in the following month. If you already have a
TradeStation brokerage account and are receiving data services through the TradeStation platform, you will not be charged an additional Minimum Activity Fee or data fees for any
new accounts that you open that are linked to the TradeStation platform or those data services. If you do not have a TradeStation brokerage account, you will be asked to choose
the optional real-time exchange data you would like to receive when you log in for the first time. Brokerage customers are not charged for access to the TradeStation electronic
trading platform. In addition to the trading software you will receive access to the TradeStation Network’s centralized historical database, delayed data for all major Equities
exchanges and U.S. Futures Exchanges, and streaming news.
I (We), the Account Owner(s), hereby request and acknowledge and agree, that this account be established as a margin account, whether or not margin is used, unless
otherwise prohibited or unless either TradeStation or its clearing firm, solely in its discretion, otherwise decides. For Futures Accounts only: I (We) represent and agree that
unless I (We) have executed and delivered to you the Hedge Agreement included in this Application Booklet, the activity in this account shall be speculative and highrisk in nature with the objective of short-term trading profits. I (We) am (are) familiar with futures and securities derivatives, and have experience with futures trading and
intra-day trading. For Equities Accounts only: I (We) represent and agree that the activity in this account shall be speculative and high-risk in nature with the objective of
short-term trading profits. I (We) are familiar with direct-access trading and Level II or Market Depth systems and have experience with intra-day and swing trading. For
all accounts: I (We) represent that I (we) have the financial ability to withstand a total loss of all of the capital placed in this account. I (We) hereby authorize TradeStation
to charge this account for the monthly Minimum Activity Fee and all additional services checked above.
I (We) understand that prices, costs, terms and conditions are subject to change at any time and from time to time, and that any offer, statement or other communication I
(we) receive about any product or service should be read and understood with that in mind. I (We) understand and agree that this Agreement includes, in addition to all of the
terms, conditions and selections set forth above, the following agreements. By signing below, and by delivering to TradeStation that signature page (even if no other pages of
Agreement are delivered), I (we) understand, acknowledge and agree that I (we) are executing and delivering each of those agreements to TradeStation and to any other party
to any such agreement, and that I (we) are legally bound to each such agreement, and all of the terms and conditions above, to the same extent I (we) would be if each such
agreement, term and condition was individually signed by me (us) and delivered to TradeStation (or its affiliate or clearing firm) in person.
Those agreements are:
• TradeStation Securities Brokerage Account Agreement for Equities Accounts.
• TradeStation Securities Brokerage Account Agreement for Futures Accounts.
•T
radeStation Technologies Subscription Agreement. I (We) understand that this
Subscription Agreement is between me (us) and TradeStation Technologies, Inc., an affiliate
of TradeStation Securities, Inc.
• Terms of Business of TradeStation Europe (For Residents of EEA
Countries Only)
I (We) represent to TradeStation (and its affiliates and clearing firm) that we have read and understood each and every provision of each and every document that is part of
the Agreement, including, but not limited to, the agreements listed above, and my (our) acceptance of electronic trade confirmation, account statements, tax documents,
and related notices as set forth below which includes my (our) acceptance of the Notice to Clients, Referral Disclosure, and Disclaimers. I (We) further represent to
TradeStation (and its affiliates) that I (we) have visited the Web Site and have fully read and understood each of the documents (“Documents”), all of which, together
with the TradeStation Account Agreement and TradeStation Technologies Subscription Agreement, are accessible at the bottom of the home page of the Web Site
and at the bottom of nearly every other page of the Web Site:
• Important Information
• Risk Disclosure Statement For Futures and
Futures Options
• Notice to Online Traders
• Exercise and Assignment Policy for Futures
Options
• Day-Trading Risk Disclosures
• Equity Trust Company IRA Agreement
• Margin Disclosure Statement
• Trading and Order Routing Disclosure Statement
for Futures
Trades
• Anti-Money Laundering Requirements
• New York Board of Trade Electronic Order Routing
Systems Disclosure Statement
• Privacy Policy
• Risks Regarding the Use of Stop Orders during
Volatile Market Conditions
• Equity Stop Order and Stop Limit Order
Disclosure
• Business Continuity Plan Disclosure
• Web Site User Agreement, Disclaimer and Certain
Legal Notices
• FCM Specific Disclosure Document
• OTCBB Disclosure
• Extended Trading Hours Risk Disclosure
• Truth-in-Lending Disclosure Statement
• Characteristics and Risks of Standardized Options
• Special Statement for Uncovered Options Writers
• Disclosure for Futures Customers based in
Singapore
• SEC Rule 606 Report & Rule 607 Disclosure
I (We) understand, acknowledge and agree that each disclaimer of liability by TradeStation (on its own behalf and on behalf of its affiliates, clearing firms, vendors, suppliers,
agents and other service providers), each assumption of risk by me (us) as client, customer or user, and each representation, warranty, covenant, obligation and agreement
made or undertaken by me (us) as client, customer or user which is contained in any of the Documents, is part of this Agreement, and is as binding on me (us), and creates
estoppel and affirmative defenses against me (us), to the same extent as would be the case if each of such Documents was individually signed by me (us) and delivered to
TradeStation in person. I (We) also understand, acknowledge and agree that TradeStation is an express third-party beneficiary of the TradeStation Technologies Subscription
Agreement and may exercise all rights, remedies, benefits and privileges conferred upon or available to those parties under those agreements in the name or on behalf of
TradeStation.
I (We) understand and agree that one or more of the Documents, or one or more of the other agreements that are part of this Agreement (including the TradeStation Account
Agreement and the TradeStation Technologies Subscription Agreement, may be modified or amended and restated, or a new Document or agreement may be added (as the
case may be, a “Change”), at any time, and from time to time, as a result of changes in legal or regulatory requirements or in TradeStation’s or its affiliate’s (as applicable) sole
and absolute discretion (to the extent permissible under applicable laws, rules and regulations), and I (we) agree that those Changes shall be deemed effective with respect to
me (us) on the earlier of the date they are made on the Website or notifying me (us) of the Changes by e-mail, postcard, regular mail or any other reasonable method of notice.
Accordingly, I (we) therefore assume the responsibility of reviewing the Documents and agreements, and this section of the Web Site generally, on a periodic basis.
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation International Ltd is an introducing
broker authorized and regulated by the Financial Conduct Authority in the UK.
0217
12
TradeStation Account Application
REQUIRED
I (We) represent, warrant and covenant to TradeStation and its affiliates that any and all funds deposited, or that will be deposited, in my (our) account are and will be my (our)
personal funds, have not been and will not be solicited from any third party, and no third party has or will have any direct or indirect ownership or other beneficial or financial
interest in those funds or in any securities, contracts, currencies, financial instruments or other property purchased with or through the use of such funds.
Special Provisions for Joint Accounts. If this is a joint account, “We” and “us” (and not “I” or “me”) applies, and refers to all account holders, and each of the account holders
agrees that any account holder, acting alone, has authority on behalf of the joint account to: (a) buy, sell (including short sales), and otherwise deal in foreign currencies,
derivatives, contracts, stocks, bonds, options, and other securities and securities derivatives or futures products and other financial instruments, on margin or otherwise; (b)
receive demands, notices, confirmations, reports, statements of account, and communications of every kind on behalf of the joint account; (c) receive money, securities, and
property of every kind and dispose of the same on behalf of the joint account; (d) make agreements relating to any of the foregoing matters and to terminate, modify, or waive
any of the provisions of the Agreement or applicable law (that may be waived) on behalf of the joint account; (e) deal with TradeStation as fully and completely as if she/he
alone were interested in this account and without notice to the other account participants, and (f) elect and terminate account-related products and services. All obligations
and liabilities arising under this account are joint and several and may be enforced by TradeStation against any or all account holders.
TradeStation shall have authority to follow the instructions of any joint account holder in every respect and to deliver any or all monies, securities, or other property to any joint
account holder upon the instructions of any joint account holder, or to any other person upon such instructions, even if such delivery or payment is to that joint account holder
personally and not to the other(s). TradeStation will be under no obligation to inquire into the purpose or propriety of such delivery or payment and is not bound to inquire into
the disposition or application of such delivery or payment. This authority remains in force until written notice to the contrary is addressed to TradeStation and delivered to its main
office in Plantation, Florida, Attention: Director of Brokerage Client Service. TradeStation, solely in its discretion and solely for its protection, may require the written consent of all
account holders prior to acting upon the instruction of any account holder.
Laws governing joint ownership of property vary from country to country. The account holders are responsible for verifying that the joint registration selected is valid in their
country. Generally, for joint tenants with rights of survivorship, in the event of the death of either tenant, the entire interest in the joint account shall be vested in the surviving
joint tenant(s) on the same terms and conditions. For tenants in common, the interest in each tenancy shall be equal unless specified and in the event of death of either tenant
the interest in its, his or her share of the tenancy shall vest in the decedent’s legal representative. Laws regulating community property vary from country to country. Account
holders should consult their own legal advisor.
U.S. citizens and U.S. residents only — Tax Withholding Certification. Under penalty of perjury, I certify that: (1) the number shown on this form is my correct taxpayer identification
number, and (2) I am not subject to backup withholding because (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (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 notified me that I am no longer subject to backup withholding;
and (3) I am a U.S. person (which includes being a U.S. resident alien). I understand that I must cross out item 2 above if I have been notified by the IRS that I am currently subject
to backup withholding because I have failed to report all interest and dividends on my tax return. Note: The IRS does not require consent to any provision of this paragraph other
than the certification required to avoid backup withholding. If this is a joint account, each joint account owner is separately making the certification.
FOREIGN RESIDENTS ONLY. If I reside outside of the United States, I confirm and represent that TradeStation did not solicit me to establish and open this account.
For Equities Accounts: By signing below, I (We) have read and agree to the pre-dispute arbitration provisions set forth in section 37 of the TradeStation Securities
Equities Account Agreement.
For Futures accounts: ELECTION TO ARBITRATE DISPUTES
I (We) have read the Arbitration provisions set forth in paragraph 41 of the TradeStation Securities Futures Account Agreement.
If this is a futures account, I (We)make the following election:
I ACCEPT THE ARBITRATION PROVISION
I DECLINE THE ARBITRATION PROVISION
ELECTION NOT APPLICABLE
TO EQUITIES ACCOUNTS.
Initials
Initials
Initials
Initials
I (We) confirm that the details provided by me (us) during the online and/or full application process are complete, accurate and not misleading in any
respect, and I (We) will promptly notify you in writing if any of the representations contained herein shall materially change or cease to be true and correct.
IN WITNESS WHEREOF, I (We), the undersigned, hereby execute and deliver the Agreement, intending to be legally bound, as of the date set forth below.
Main Account Owner’s Signature
Date
Joint Account Owner’s Signature (if a joint account)
Date
Authorized Signature (if an entity account)
Date
Print Authorized Signor’s Name and Title
Authorized Signature (if an entity account)
Date
Print Authorized Signor’s Name and Title
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation International Ltd is an introducing
broker authorized and regulated by the Financial Conduct Authority in the UK.
0217
13
Entity Specific Forms
Instructions: To establish an account for your entity you must complete the form or forms that are applicable to the organizational
structure of your business.
If your entity has a basic organizational structure, for example:
•Y
our entity is an LLC you are required to complete the Certificate of Managing Member, Manager or Officer of LLC Form provided. If
you are the managing member, manager or officer of the LLC as a natural person, this is the only entity specific form required.
If your organizational structure is more complex, you are required to complete an entity specific form for each layer of your organizational
structure, for example:
•Y
our entity is an LLC you are required to complete the Certificate of Managing Member, Manager or Officer of LLC Form provided;
however if the managing member of the LLC is another entity, you will need to also complete the entity specific form until you have
reached the natural person that controls the entire formation of entities.
You may also use the grid below to assist you in the completion of the required entity specific forms. The grid shows the capacity in which
the person signing has the authority to act and the form required for completion. The final layer of your entity will be a natural person for
which the Associated Person information collected earlier in the application booklet is used.
Please Note: Some forms may need to be used multiple times depending on the type of entity formations included in your organizational
structure.
Forms required for each Entity within your organizational structure
Capacity of Authorized Signatory(ies)
for each layer of your organization
Certificate of Corporate
Secretary
Certificate of Managing Member,
Manager, or Officer
Certificate of Trustee
General Partner
Sole Proprietorship
Certification
X
Managing Member/Manager
Director/President/CEO
Certificate of General
Partners
X
X
Trustee
X
Sole Proprietorship
X
The following documents are also required. Please be sure to include ALL of the documents applicable to your firm for ALL entities that are
a part of your firm. For example, a limited partnership that has a limited liability company as the general partner must provide all applicable
documents for both the limited partnership and the limited liability company.
Limited Partnerships
•C
ertified Certificate of Limited Partnership
• Partnership Agreement
• Subscription Agreement (if used for investing partners)
•P
rivate Placement Memorandum (if used in raising capital)
Limited Liability Company
• Certified Articles of Organization
• Operating Agreement
• Subscription Agreement (if used for investing members)
• Private Placement Memorandum (if used in raising capital)
Corporation
• Certified Articles or Certificate of Incorporation
• Bylaws
• Corporate Resolutions reflecting current officers and directors
• Subscription Agreement (if used for investing stockholders)
• Private Placement Memorandum (if used in raising capital)
Trust
• Copy of Trust Agreement (and any amendments)
Sole Proprietorship
• State Registration Document
NOTE: IF YOU ARE A NON-US ENTITY, YOU MUST PROVIDE THE APPLICABLE EQUIVALENT DOCUMENTS.
The following identification is Required for the Primary Authorized Representative and all Associated Persons listed on the
account application:
• US Person’s Copy of Valid Driver’s License, Passport or another form of government-issued photo ID.
• Non-US Person’s Copy of Passport
• Completed W-8BEN form
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
14
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
Certificate of Corporate Secretary
Complete for a Corporate Account
PLEASE BE SURE TO INCLUDE A COPY OF YOUR ORGANIZATION’S ARTICLES
OR CERTIFICATE OF INCORPORATION
, being a duly authorized representative of,
I,
corporation duly organized and validly existing under the laws of
business at
,a
, and having a principal place of
(the “Corporation”), hereby certify that the following Resolutions
were duly adopted by the Board of Directors of the Corporation and are now in full force and effect:
Opening of Brokerage Account(s); Conducting Transactions
RESOLVED, that the Corporation, on its own behalf, or, if the Account (as defined below) is in the name of a partnership, limited liability company or other entity of which the
Corporation is a general partner, managing member or other authorized representative, on behalf of that partnership, limited liability company or other entity, is hereby authorized
and directed to establish and maintain one or more accounts (including margin accounts) (each, an “Account”), and to engage in any of the transactions hereinafter described, with
or through TradeStation Securities, Inc. (“TradeStation”), or any of its now or hereafter existing affiliated entities, through an Account or otherwise. TradeStation, to the fullest extent
of its authority under applicable regulations, is authorized to act as principal or agent in such transactions;
Trading Authority*
RESOLVED, that the Corporation, on its own behalf, or, if the Account is in the name of a partnership, limited liability company or other entity of which the Corporation is a
general partner, managing member or other authorized representative, on behalf of that partnership, limited liability company or other entity, is hereby authorized and empowered
to purchase (including on a forward or when-issued basis or on margin), hold, finance, pledge, exercise, convert, tender, redeem, exchange, transfer, assign, sell (including short,
when-issued and forward sales), enter into, write, issue and otherwise deal and trade, singly or in combination, in the following:
•S
ecurities (General): any and all forms of securities, trust certificates, evidences of interest, participation or indebtedness of any kind whatsoever, whether
publicly registered or exempt from registration (for example, as a private placement or exempt security), including, without limitation, the securities, instruments
and transactions listed in the categories set forth below;
•D
ebt Securities: any and all forms of bonds, debentures or notes of any coupon (including “zero coupon”) or maturity, including but not limited to obligations
issued or guaranteed by the United States Government or any of its agencies or instrumentalities, Government Sponsored Enterprises, foreign sovereign nations,
corporations or other entities, including special purpose entities, whether investment grade, unrated or high yield or secured or unsecured;
•E
quity Securities: any and all forms of common and preferred stock, scrip, warrants and rights;
•M
ortgages, Mortgage-Backed and Other Asset-Backed Securities: whole mortgage loans and interests and participations in mortgage loans,
whether residential or commercial or multi-family; mortgage-backed, mortgage-related or mortgage-derived securities or instruments of any kind whatsoever
including, but not limited to, any tranches of collateralized mortgage obligations, REMICs, mortgage pass-through certificates and participation certificates,
whether issued or guaranteed by or backed by collateral of a government agency, Government Sponsored Enterprise or a private issuer, including, but not limited
to, planned or targeted amortization, interest-only, principal-only, floating rate, inverse floating rate or zero coupon classes, interest-only or principal-only strips
or mortgage residuals or any combination of the foregoing; all forms and tranches of asset-backed securities, including, but not limited to, securities backed by
auto, truck, boat, home equity, credit card loans, and any other form of consumer debt or business debt, lease payments, any form of bank debt, and interests
in and debt instruments issued by entities whose principal assets are any of the foregoing and any asset-backed residual;
•R
epurchase, Reverse Repurchase and Securities Lending and Similar Transactions: repurchase and reverse repurchase transactions,
securities lending, bonds borrow pledge, dollar rolls, buy forward sale and other similar transactions involving cash or any kind of security, asset-backed interest
or participation or other financial instrument;
•M
oney Market Instruments; Bank Notes and Bank Loans: money market instruments, including but not limited to bankers acceptances,
certificates of deposit and commercial paper, deposit notes and other bank notes and corporate, commercial or sovereign loans or obligations;
•F
oreign Exchange: spot and forward transactions in foreign currencies, currency futures contracts, and listed or over-the-counter options on foreign
currencies;
•C
ommodities and Futures: commodities and commodity, financial and equity contracts and listed and over-the-counter or other options or derivatives
on any of the foregoing;
•O
ptions and Certain Derivative Securities: any and all forms of listed or over-the-counter or other options (whether or not “covered”) on, and
securities or futures whose performance is linked to, individual securities, groups or indices of securities, currencies, interest rate indices, commodity indices,
financial instruments, or any other derivative transaction type whether or not described in this resolution;
• Interest Rate, Currency and Other Swap Transactions: swap transactions, including, but not limited to, interest rate swaps, basis swaps,
commodity swaps, rate protection transactions, serialized interest rate options, interest rate futures, caps, collars, floors, corridors, and forward rate agreements,
currency swap agreements, cross-currency rate swap agreements, or equity or equity index swaps, or any similar transaction or combination thereof, whether
on a forward basis or otherwise, including any option to enter into any of the foregoing;
• International Securities and Transactions: each of the above itemized securities, obligations, instruments and other transaction types may be dealt
in regardless of whether such security, obligation, instrument or other transaction type is issued by, the obligation of, or related to, a foreign person, enterprise
or sovereign, is denominated in a foreign currency or trades or is settled on or through a foreign market, exchange or clearinghouse; and
•M
iscellaneous: any transaction that is similar to any of the transactions described above (including an option with respect to any of them), any combination
of these transactions or any other transaction, whether or not described in this resolution.
* INVESTMENTS OR TRANSACTIONS NOT AUTHORIZED ARE CROSSED OUT.
CO NTINU ED O N N E X T PA G E
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
15
Certificate of Corporate Secretary
Complete for a Corporate Account
Authorized Officer/Agents
RESOLVED, that each of the following officers or agents of the Corporation is hereby individually authorized for and on behalf of the Corporation, acting alone, (1) to give
to and receive from TradeStation oral or written instructions, confirmations, notices or demands with respect to any Account or transaction; (2) to have complete authority
at all times to bind the Corporation (and the partnership, limited liability company or other entity for which the Corporation acts, if applicable) to the performance of any
transaction or agreement, amendment or modification thereof relating to any Account or transaction involving the Corporation (or the partnership, limited liability company
or other entity for which the Corporation acts, if applicable); (3) to lend or borrow money or securities or contracts and to secure the repayment thereof with the property
of the Corporation (or the partnership, limited liability company or other entity for which the Corporation acts, if applicable); (4) to pay in cash or by check or draft drawn
upon the funds of the Corporation (or the partnership, limited liability company or other entity for which the Corporation acts, if applicable) any sums required to be paid
in connection with any Account or transaction; (5) to order the transfer or delivery of any securities, contracts, funds or other property to such officer or agent or to any
other person; (6) to order the transfer of record of any securities, contracts, funds or other property to any name and to accept delivery of any securities, contracts, funds
or other property; (7) to direct the sale or exercise of any rights with respect to any securities, contracts or other property; (8) to sign for and on behalf of the Corporation
(or the partnership, limited liability company or other entity for which the Corporation acts, if applicable) all releases, assignments, powers of attorney or other documents
in connection with any Account or transaction; (9) to agree to any terms or conditions affecting any Account or transaction; (10) to endorse any securities, contracts or other
property in order to pass title thereto (or to any interest therein); (11) to direct TradeStation to surrender any securities, contracts or other property for the purpose of effecting
any exchange or conversion thereof or otherwise; (12) to appoint any other person or persons to do any and all things which such officer or agent is hereby empowered
to do; and (13) generally, to take all such action as such officer or agent may deem necessary or desirable to implement or facilitate the trading activities authorized in the
preceding Resolutions:
Name of Officer/Agent
Title/Firm Name
Specimen Signature
Effectiveness of Resolutions
RESOLVED, that the foregoing Resolutions shall apply to all transactions and agreements between the Corporation (and the partnership, limited
liability company or other entity for which the corporation acts, if applicable) and TradeStation, even if such transactions and agreements were
entered into by the Corporation (or the partnership, limited liability company or other entity for which the Corporation acts, if applicable) and
TradeStation prior to the adoption of such Resolutions (all of which are hereby unconditionally ratified in all respects), shall supersede any prior
resolutions dealing with the subject matter covered herein and shall remain in full force and effect in all respects until the close of business on
the day (if any) that TradeStation receives written notice of a modification or revocation thereof at its offices located at The TradeStation Building,
8050 S.W. 10th Street, Suite 2000, Plantation, FL 33324, Attn: Director of Brokerage Client Service.
IN WITNESS WHEREOF, I have hereunto set my hand and the seal of the Corporation on this
day of
, 20
X
Authorized Representative (SIGNATURE)
(CORPORATE SEAL)
This Certificate must be executed by a person or entity duly authorized by the Corporation to do so. The person executing this Certificate
shall not be one of the persons authorized to act for the Corporation pursuant to the Resolutions referred to in the clause above unless (i) the
Corporation has provided evidence that the Corporation has only one officer, director or employee or (ii) the cross certification appearing below
is completed.
I,
the undersigned
of the Corporation hereby affirm and ratify each of the certifications, representations, warranties,
covenants, and agreements contained in this Certificate.
IN WITNESS WHEREOF the Corporation, through the undersigned, has executed this Certificate as of the
day of
,
.
By:
The Cross-Certification should be completed by a person authorized to act for the Corporation pursuant to the Resolutions set forth in this
Certificate.
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
16
Certificate of Managing Member,
Manager or Officer of LLC
Complete for an LLC Account
I,
, being a duly authorized representative of
and having a principal place of business
a limited liability company formed under the laws of
at
,
(the “Company”), or of a corporation or other entity that is the
managing member of the Company, hereby certify that the Company is authorized and directed to establish and maintain, on its own behalf,
or, if the Account is in the name of a partnership or other entity of which the Company is a general partner or authorized representative, on
behalf of that partnership or other entity, one or more accounts (including margin accounts) (each, an “Account”), and to engage in any of the
transactions hereinafter described, with or through TradeStation Securities, Inc. (“TradeStation”) or any of its now or hereafter existing affiliated
entities, through an Account or otherwise. TradeStation, to the fullest extent permitted by law, is authorized to act as principal or agent in such
transactions.
Opening of Brokerage Account(s); Conducting Transactions
I FURTHER CERTIFY THAT, the Company, on its own behalf, or, if the Account is in the name of a partnership or other entity of which the
Company is a general partner or authorized representative, on behalf of that partnership or other entity, is authorized and empowered to purchase (including on a forward or when-issued basis or on margin), hold, finance, pledge, exercise, convert, tender, redeem, exchange, transfer,
assign, sell (including short, when issued and forward sales), enter into, write, issue and otherwise deal and trade, singly or in combination, in
the following:*
Trading Authority*
Securities (General): any and all forms of securities, trust certificates, evidences of interest, participation or indebtedness of any kind
whatsoever, whether publicly registered or exempt from registration (for example, as a private placement or exempt security), including, without
limitation, the securities, instruments and transactions listed in the categories set forth below;
• Debt Securities: any and all forms of bonds, debentures or notes of any coupon (including “zero coupon”) or maturity, including but not limited
to obligations issued or guaranteed by the United States Government or any of its agencies or instrumentalities, Government Sponsored
Enterprises, foreign sovereign nations, corporations or other entities, including special purpose entities, whether investment grade, unrated
or high yield or secured or unsecured;
• Equity Securities: any and all forms of common and preferred stock, scrip, warrants and rights;
• Mortgages, Mortgage-Backed and Other Asset-Backed Securities: whole mortgage loans and interests and participations in mortgage
loans, whether residential or commercial or multi-family; mortgage-backed, mortgage-related or mortgage-derived securities or instruments
of any kind whatsoever including, but not limited to, any tranches of, collateralized mortgage obligations, REMICs, mortgage pass-through
certificates and participation certificates, whether issued or guaranteed by or backed by collateral of a government agency, Government
Sponsored Enterprise or a private issuer, including, but not limited to, planned or targeted amortization, interest-only, principal-only, floating
rate, inverse floating rate or zero coupon classes, interest-only or principal-only strips or mortgage residuals or any combination of the
foregoing; all forms and tranches of asset-backed securities, including, but not limited to, securities backed by auto, truck, boat, home equity,
credit card loans, and any other form of consumer debit or business debt, lease payments, any form of bank debt, and interest in and debt
instruments issued by entities whose principal assets are any of the foregoing and any asset-backed residual;
• Repurchase, Reverse Repurchase and Securities Lending and Similar Transactions: repurchase and reverse repurchase transactions,
securities lending, bonds borrow pledge, dollar rolls, buy forward sale and other similar transactions involving cash or any kind of security,
asset-backed interest or participation or other financial instrument;
• Money Market Instruments; Bank Notes and Bank Loans: money market instruments, including but not limited to bankers acceptances,
certificates of deposit and commercial paper, deposit notes and other bank notes and corporate, commercial or sovereign loans or obligations;
o Foreign Exchange: spot and forward transactions in foreign currencies, currency futures contracts, and listed or over-the-counter options
on foreign currencies;
• Foreign Exchange: spot and forward transactions in foreign currencies, currency futures contracts, and listed or over-the-counter options on
foreign currencies;
• Commodities and Futures: commodities and commodity, financial, equity and security futures contracts and listed and over-the-counter or
other options or derivatives on any of the foregoing;
• Options and Certain Derivative Securities: any and all forms of listed or over-the-counter or other options (whether or not “covered”) on,
and securities or futures whose performance is linked to, individual securities, groups or indicies of securities, currencies, interest rate indicies,
commodity indicies, financial instruments, or any other derivative transaction type whether or not described in this resolution;
• Interest Rate, Currency and Other Swap Transactions: swap transactions, including, but not limited to, interest rate swaps, basis swaps,
commodity swaps, rate protection transactions, serialized interest rate options, interest rate futures, caps, collars, floors, corridors, and forward
rate agreements, currency swap agreements, cross-currency rate swap agreements, or equity or equity index swaps, or any similar transaction
or combination thereof, whether on a forward basis or otherwise, including any option to enter into any of the foregoing;
• International Securities and Transactions: each of the above itemized securities, obligations, instruments and other transaction
C O NTINU ED O N N E X T PA G E
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
17
Certificate of Managing Member,
Manager or Officer of LLC
Complete for an LLC Account
types may be dealt in regardless of whether such security, obligation, instrument or other transaction type is issued by, the obligation of, or
related to, a foreign person, enterprise or sovereign, is denominated in a foreign currency or trades or is settled on or through a foreign market,
exchange or clearinghouse; and
• Miscellaneous: any transaction that is similar to any of the transactions described above (including an option with respect to any of them), any
combination of these transactions or any other transaction, whether or not described in this resolution.
* INVESTMENTS OR TRANSACTIONS NOT AUTHORIZED ARE CROSSED OUT.
Each of the following persons or entities is hereby individually authorized for and on behalf of the Company, acting alone, (1) to give to and
receive from TradeStation oral or written instructions, confirmations, notices or demands with respect to any Account or transaction; (2) to
have complete authority at all times to bind the Company (and the partnership or other entity for which the Company acts, if applicable) to the
performance of any transaction or agreement, amendment or modification thereof, relating to any Account or transaction involving the Company
(or the partnership or other entity for which the Company acts, if applicable); (3) to lend or borrow money, financial instruments or currencies or
securities or contracts and to secure the repayment thereof with the property of the Company (or the partnership or other entity for which the
Company acts, if applicable); (4) to pay in cash or by check or draft drawn upon the funds of the Company (or the partnership or other entity for
which the Company acts, if applicable) any sums required to be paid in connection with any Account or transaction; (5) to order the transfer or
delivery of any securities, contracts, funds, financial instruments or currencies, or other property to such person or entity or to any other person
or entity; (6) to order the transfer of record of any securities, contracts, funds, financial instruments or currencies, or other property to any name
and to accept delivery of any securities, funds or other property; (7) to direct the sale or exercise of any rights with respect to any securities,
contracts, funds, financial instruments or currencies, or other property; (8) to sign for and on behalf of the Company (and the partnership or
other entity for which the Company acts, if applicable) all releases, assignments, powers of attorney or other documents in connection with any
Account or transaction; (9) to agree to any terms or conditions affecting any Account or transaction; (10) to endorse any securities, contracts,
funds, financial instruments or currencies, or other property in order to pass title thereto (or to any interest therein); (11) to direct TradeStation to
surrender any securities, contracts, funds, financial instruments or currencies, or other property for the purpose of effecting any exchange or
conversion thereof or otherwise; (12) to appoint any other person or persons to do any all things which such named person or entity is hereby
empowered to do; and (13) generally, to take all such action as such person or entity may deem necessary or desirable to implement or facilitate
the foregoing trading activities:
Name of Person
Title/Firm Name
Specimen Signature
Name of Person
Title/Firm Name
Specimen Signature
Name of Person
Title/Firm Name
Specimen Signature
The foregoing shall apply to all transactions and agreements between the Company (and the partnership or other entity for which the Company
acts, if applicable) and TradeStation, even if such transactions and agreements were previously entered into by the Company (or the partnership
or other entity for which the Company acts, if applicable) and TradeStation (all of which are hereby unconditionally ratified in all respects) and
shall remain in full force and effect in all respects until the close of business on the day (if any) after TradeStation receives written notice of the
modification or revocation thereof at its offices located at The TradeStation Building, 8050 S.W. 10th Street, Suite 2000, Plantation, FL 33324,
Attn: Director of Brokerage Client Service. TradeStation is instructed to direct all notices or communications, including demands, notices,
confirmations, reports and statements in connection with the Account(s) to the name and address provided to TradeStation in the Account
Application and Agreement.
Please provide the portion of the Company’s Operating Agreement or similar document authorizing the person signing this Certificate on
behalf of the Company to do so. In the absence of such a document, please have all members/managers sign below. In the absence of both
the requested documents and the names and signatures of all managers and members, you are personally guaranteeing that you, by signing
below, are, acting alone, fully authorized, without restriction, to make the foregoing certifications on behalf of the Company and that all Company
members and managers have been informed of all activities relating to the Account.
Name of Primary Authorized Representative/Title
Signature of Primary Authorized Representative
Name
Name
Name
Date
Date
Date
Signature
Signature
Signature
Name
Name
Name
Date
Date
Date
Signature
Signature
Signature
Date
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
18
Certificate of Trustees
Complete for a Trust Account
PLEASE BE SURE TO INCLUDE A COPY OF YOUR ORGANIZATION’S TRUST AGREEMENT
Account Title
Account #
Tax ID #
Date of Trust
Name(s) of Trustee(s)
THE UNDERSIGNED TRUSTEE(S) HEREBY CERTIFY(IES) THAT:
1. Opening of Brokerage Accounts. The trust agreement for the trust: (please check one): o does o does not
authorize the trustees to open securities and/or futures accounts on behalf of the trust. All documentation may be executed by (please
check one):
o any trustee individually o a majority of the trustees jointly o the following trustees jointly
o all trustees jointly
(print names of trustees who must sign jointly):
2. Investment Decision Making. The trust agreement for the trust authorizes investment decisions to be made by (please check one):
o any trustee individuallyo a majority of the trustees jointly o the following trustees jointly
o all trustees jointly
(print names of trustees who must decide jointly):
o The following independent investment adviser
(print name):
3. Permitted Investments. The trust is authorized to trade in the securities and other financial instruments specified below: (please check
all that apply):
o Corporate Equities
o Uncovered Options
o Municipal Bonds
o Physical Commodities
o Mutual Funds/Unit Trusts
o OTC Options
o Corporate Bonds
o Limited Partnerships (including leveraged)
o Real Estate Investment Trusts o U.S. Government Bonds o Certificates of Deposit o Foreign Securities
o Covered/Long Options
o U.S. Agencies
o Foreign Exchange Currencies o Contracts for Differences
o Commodity/Financial/Equity Futures
o Other
4. Borrowing Money and Pledging Collateral. The trust: (please check one): o is o is not
expressly authorized to borrow against the loan value of the marginable securities or contracts in its account and to pledge such
securities or contracts as collateral and authorize the rehypothecation of marginable securities and instruments.
5. Buying Securities on Margin. The trust: (please check one): o is o is not
expressly authorized to open and maintain a margin account and, in conjunction therewith, to buy any of the above-indicated
financial instruments on margin or other forms of credit or buying leverage.
6. Selling Securities Short. The trust: (please check one): o is o is not
expressly authorized to sell short any of the above-indicated securities or financial instruments for which short-selling
is available in the applicable market.
7. Distributions. The trust agreement for the trust: (please check one): o does o does not
expressly authorize the trustees to make distributions from the trust.
8. Power of Attorney. The trust agreement for the trust: (please check one): o does o does not
expressly authorize the trustees to appoint an attorney-in-fact to act on behalf of the trust.
C O NTINU ED O N N E X T PA G E
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
19
Certificate of Trustees
Complete for a Trust Account
The undersigned trustee(s) further represent(s) that the certifications contained herein are true, accurate and consistent with the purposes and
investment objectives of the trust. The undersigned trustees jointly and severally agree to indemnify TradeStation Securities, Inc. (“TradeStation”)
and its affiliates and hold them harmless from any losses, expenses, penalties, claims or liabilities (including reasonable attorneys’ fees and
expenses) that may arise out of TradeStation’s acting in reliance on the representations contained in this certification. This indemnification shall
survive the termination of the trust or the trust account.
TradeStation may rely upon this certification unless and until the trustees advise it, in writing, otherwise with respect to any of the matters herein
contained.
Signature of Trustees (All trustees must sign this certification)
Signature
Signature
Signature
Print Name
Print Name
Print Name
Signature
Signature
Signature
Print Name
Print Name
Print Name
NOTARIZATION (required)
STATE OF
On the
, COUNTY OF
day of
, in the year 20
, before me personally
came each of the individuals listed above to me known, and known to be the individual(s) described herein, and executed the foregoing
Certificate of Trustee(s) and duly acknowledged to me that he/she/they executed the same.
Notary Public
My commission expires
T H I S F O R M WI LL N OT BE A CCE PTE D UNLE SS NOTA R IZ E D
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
20
Certificate of General Partner(s)
Complete for a Partnership Account
PLEASE BE SURE TO INCLUDE A COPY OF YOUR ORGANIZATION’S PARTNERSHIP AGREEMENT
Account Number
To:TradeStation
The TradeStation Building
8050 S.W. 10th Street, Suite 2000
Plantation, FL 33324
In connection with your partnership account (which may be a joint venture) in the name of________________________________
__________________________________________________________ , a duly organized general or limited partnership or joint
venture (referred to herein as the “Partnership”), each General Partner whose name and signature appears below (or, if such General
Partner is a corporation, limited liability company or other entity, the officer, manager member or other authorized representative signing
below on behalf of such corporation, limited liability or other entity) hereby confirms that such General Partner has unlimited liability for
the obligations of the Partnership and each and every General Partner shall have authority on behalf of the Partnership to establish and
maintain one or more accounts which may be margin accounts with TradeStation Securities, Inc. (“TradeStation”), for the purpose of
purchasing, investing in, or otherwise acquiring, selling (including short-sales), possessing, transferring, exchanging, pledging, financing,
engaging in repurchase or reverse repurchase transactions or otherwise disposing of, or realizing upon, and generally dealing in and
with (a) any and all forms of securities, including, but not by way of limitation, shares, stocks, listed or OTC options, bonds, debentures,
notes, scrip, participation certificates, rights to subscribe, option warrants, certificates of deposit, mortgages, GNMAs, FHLMCs, FNMAs,
privately issued mortgage pass through certificates, multi-family project loans insured by the Federal Housing Administration, forward
contracts, standby contracts, choses in action, evidences of indebtedness, commercial paper, certificates of indebtedness and
certificates of interest of any and every kind and nature whatsoever, secured or unsecured, whether represented by trust, participating
and/or other certificates or otherwise; and (b) any and all commodities, commodity or financial or equity futures contracts, commodity
options, options on commodity or financial or equity futures and foreign currencies.
The authority hereby herein confirmed shall remain in effect until written notice to the contrary is received by TradeStation.
TradeStation is instructed to direct all notices or communications, including demands, notices, confirmations, reports and statements
of account, for the Partnership in connection with the Partnership account to the address provided in the Account Application and
Agreement:
Name of General Partner
Date
Signature of or on behalf of General Partner
Print Name of Signing Person
Name of General Partner
Date
Signature of or on behalf of General Partner
Print Name of Signing Person
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
21
Sole Proprietorship Certification
Complete if your account will be in the name of the
Sole Proprietorship.
RE: Account Number
To: TradeStation
The TradeStation Building
8050 S.W. 10th Street, Suite 2000
Plantation, FL 33324
I,
, hereby certify that I am engaged in business under the assumed name
(Name of sole proprietor)
of
(Name of sole proprietorship business)
at
in the city of
State of
.
I am the sole proprietor of the business so conducted and no other person, partnership or corporation has any ownership interest
therein.
All securities, commodities, financial instruments, contracts and other assets and property in the name of
are owned solely by me.
(Name of sole proprietorship business)
I hereby agree to indemnify and hold TradeStation Securities, Inc. (“TradeStation”), its controlling persons, successors and assigns
(the “Indemnified Parties”) harmless from and against and pay promptly on demand any damages, losses, claims and/or costs
(including attorney’s fees) which you and the Indemnified Parties may incur in complying with my instructions relating to the above
listed account(s) at your firm.
Signature of Sole Proprietorship
Print Name of Sole Proprietor
Dated
0216
Equities, equities options, and commodity futures products and services are offered by TradeStation Securities, Inc. (Member NYSE, FINRA, CME and SIPC). TradeStation Europe Limited acts as an introducing
broker to TradeStation Group’s affiliates and is authorized and regulated by the Financial Conduct Authority in the UK.
22