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These forms are made for customers or potential customers to download and print easily. For your convenience the forms are made available in both Microsoft Word (.doc) and Adobe Acrobat (.pdf) format. After you've found the appropriate form print it, fill it out, and send it to CFII via regular mail only.
Use this form to transfer an account from another brokerage firm into CFII.
Please only sign and date under the “signatures” section near the bottom of the
form. CFII will fill out the rest of the form for you. This form must be
accompanied by a photocopy of the most recent monthly statement for the account
being transferred.
This statement provides basic information about a firm's AML requirements. On October 26, 2001, President George W. Bush signed into law the PATRIOT Act, which, among other things, strengthens the anti-money laundering provisions put into place by earlier legislation and includes new anti-money laundering provisions that are applicable to broker/dealers.
Use this form for reregistering jointly held stock, where one party is deceased. An original Affidavit of Domicile & Death Certificate is usually required for each different security.
This form is required when opening a trust account. All
of the trustees on the account must sign the form. CFII
requires a photocopy of the actual trust to be
accompanied by this form.
Use this form to update your current address and phone numbers.
Authorizes designated officer(s)
of a corporation to open a brokerage account and transact securities business
with CFII on behalf of the corporation.
This form is required when delivering stock certificates into the account of a corporation. One resolution is needed for each different company.
Use this form to fill out information when opening a corporate account. It is important to fill out all of the blanks to assure the account is opened correctly.
This form is to be used to open a Coverdell ESA. The
Coverdell ESA replaces the Educational IRA. Only the first page of the form is
required to be filled out.
This is the customer
agreement to open a new account. It is required on every type of account. All
of the parties on the account must sign the form. This form also includes the
margin agreement. We still require a separate W-9 form which can be found on
the Forms page.
Use this form to fill out information when opening a personal account. It is important to fill out all of the blanks to assure the account is opened correctly.
This statement gives several important facts that pertain to Day-Trading. A trading strategy that is defined as buying or selling the same security multiple times in the same day. It can be very risky.
Our firm has
a procedure in place in which month-end statements with the same address and
Social Security number/Taxpayer Id number are mailed in a single envelope. The
name of this procedure is “Householding”. As of January 2006, we now can link
accounts with different Social Security numbers/Taxpayer Id numbers, but having
the same address, to a main account for statement mailing purposes only. For
example a husband’s IRA and his wife’s IRA. This form is to be used to link
these types of accounts. Please make sure all authorized account holders sign
the form.
This form is to be
used to open a Traditional, Rollover or SEP IRA. Please
call CFII to request a copy of the IRA Booklet or click
here to
download.
This form is used to
designate or update the person(s) to whom your IRA assets should be distributed upon your death. The manner of distribution may have certain tax consequences for your beneficiary(ies). You should consult with your tax advisor before making your selection.
Use this form to request a distribution from your IRA held at CFII. Please
make sure to sign and date under Section E at the bottom of the form. In most
distribution cases only the first two pages of this form are needed.
Use this form to transfer cash/securities between your CFII accounts.
This form is used to endorse stock or bond certificates without signing the actual certificate. Required if the stock certificate received has not been endorsed.
CFII is required to file an information return with the IRS on its clients, report dividend and interest income, sales of securities, and contributions/distributions for retirement accounts. Submit your Taxpayer Identification Number to CFII using this form.
Use this form to accompany
the customer agreement when opening a joint account with
right of survivorship account. All of the parties on
the account must sign the form.
Use this form to accompany stock certificates you are depositing at CFII. It allows stock registered in a name other than the CFII account to be deposited.
Use this form when gifting stock or reregistering stock to a different name.
This statement provides customers with information about how a margin account works. It defines the rights of the customer and the rights of the firm in regards to purchasing securities on margin. It also describes the risks involved using margin.
This form is to be used to open a Roth IRA. Please call CFII to
request a copy of the Roth IRA Booklet or click
here to download.
This form is
required on every type of account at opening. It designates whether or not you
want your name, address and securities positions disclosed to all the companies
in which you own securities that will be held by us.
(Limited to the Purchase and Sale of Securities) Authorizes an agent of the account holder to purchase and sell securities on behalf of the account holder.
This form is to be used
to add the TOD designation to an individual or joint account. It allows for
individual(s), trust(s), guardianship(s), entity(ies), and/or custodian(s) under
UTMA to be designated as beneficiaries of the assets in the account upon death
of the individual or joint parties.
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