This application is for an advisor licensed or registered by a regulatory agency.
This application is for Professional Investment Consultants who provide paid investment advisory services.
You have selected an incorrect account type. This account record is only for the registered Financial Advisor account type.
List all countries and/or states in which you are licensed or registered with a regulatory body to provide financial advisory services. List only the locations where you are actually licensed or registered. Do not list places where you operate under an exception or exemption from licensing or registration.
As a financial advisor, your organization must be qualified to operate at least one of the following products: Securities, Commodities or Forex.
If your clients request that we deduct fees from their accounts in accordance with one of our automatic billing arrangements (Advisory Fees), the fees will be automatically calculated, deducted from their accounts and transferred to you.To help investment advisers who charge advisory fees using our Automatic Calculation options or our Electronic Billing option meet their compliance obligations, we may provide their clients with notices informing them of advisory fees deducted from their accounts before those fees are charged.These notices will describe the method of calculating the fee, the amount of the fee and the period covered by the consulting fee. We may send these notices by email or via the message center on the advisor portal.Please note that if you choose to send invoice notifications to your clients, the processing of the fee will be D+1.
Provide a description of the company's business, listing the business activities in your own words. Do not copy and paste the business description from any third-party source to avoid delays in processing your application.
Examples Consumption bill (electricity, water, gas, internet) or credit card bill, valid up to a maximum of 90 days ago. (Excludes cell phone bill)
Valid passport or driver's license (CNH), ID or official identification issued by the federal government of the client's country no more than 10 years ago. Licenses (from bodies such as the OAB, for example) are not accepted.
Address *
Address line 2
City/Municipality *
State/Region/Province *
ZIP/Postal Code *
Country
The person who is filling in this form and who has the authority to sign contracts on behalf of the company.
Name
Last name
The U.S. Internal Revenue Service requires us to obtain certain certifications as to the status of the company for U.S. income tax purposes.This can affect the U.S. income tax withholding rate and help us identify all persons from whom we should receive certifications.Answer the following questions to assist with this certification.
Please provide the financial information requested below to the organization, which will be used to determine your eligibility to trade certain investment products.You may be asked to prove this financial data, so please provide figures from your most recent financial statements, such as the annual cash flow statement and balance sheet.
Provide the value of the "Net Revenue" line from the last annual cash flow statement.
Provide the "Total Assets - Total Liabilities" figure from the last balance sheet.
Provide the "Current Assets - Current Liabilities" figure from the last balance sheet.
This sub-account is for holding or trading the company's positions, separate from its operations for clients.
Our broker requires the collection of information about the controlling party and ownership to comply with its regulatory requirements.Certain types of entities may be excluded or exempt from some or all of these requirements.
Please list a single person with managerial authority over the applicant entity. This is a single person with significant responsibility for controlling, managing or directing the applicant entity (e.g. an Executive Director, Managing Member, Managing Partner or any person who regularly performs similar functions).
Requirements: Lowercase letters and numbersMinimum 9 charactersMinimum 3 letters
Requirements: Different from username, Between 8 and 40 characters, Minimum 1 letter, Minimum 1 number
ZIP Code/Postal Code *
The following questions will ask about details of the corporate structure of the applicant entity.Provide information on the beneficial ownership of each individual, if any, who owns, directly or indirectly, 25% or more of any ownership interest in the applicant entity and any intermediate entity.
If so, you will need to add the trustee's administrator information.
Provide information on the beneficial ownership of each individual, if any, who owns, directly or indirectly, 25% or more of any interest in the ownership of the applicant entity.- If there is any intermediary entity between the applicant entity and any beneficial owner with an interest of 25% or more, add that entity with the ownership hierarchy below.- If there is a trust that owns, directly or indirectly, 25% or more of the applicant entity, add a trustee of the trust below.
By continuing, you agree to all the agreements and disclosures listed below:Forms and Disclosures: Clients AgreementsForms and Disclosures: Disclosures
We will contact you within the next 48 hours.
