Small Business Account

This type of business account is designed for a corporation, partnership or limited liability company or unincorporated legal structure that holds assets belonging to an entity account holder.

Please note that small business accounts cannot be used to directly or indirectly manage, hold or pool investor funds. The assets held in the account must be owned by the account holder.

Any entity wishing to manage client funds, open a hedge fund account or trade on behalf of its clients must complete the appropriate "Financial Advisor" form.

1. User name

Requirements: Lowercase letters and numbers, Minimum 9 characters, Minimum 3 letters

Nome de usuário inválido

2. Email

Example: @gmail.com, @icloud.com, @me.com

Email inválido

3. Password

Requirements:, Different from username, Between 8 and 40 characters, Minimum 1 letter, Minimum 1 number

Senha inválida

4. Confirm password

As senhas não coincidem

5. Country

6. List the name of the organization

7. Type of organization

CorporationSocietyLimited Liability Company (LLC)Unincorporated business

8. Business description - Provide a business description for the company by listing the business activities in your own words.

Do not copy and paste your company description from third parties to avoid delays in processing your application.

9. Does the organization have a commercial name that differs from its registered name?

YesNo

10. Alternative name of the company

11. Website

12. TAX ID

13. Purpose of the organization

An operating business formed to offer goods or services to customers that was not formed for the purpose of trading or holding financial assets. Please select this option only for real businesses, such as manufacturers, restaurants, oil companies, etc.A personal or family investment vehicle beneficially owned by a single person or a group of close family members who created the organization for the purpose of making financial investments for the owner and/or the owner's close familyA privately held trading company (or similar corporation or vehicle) created for the purpose of trading the proprietary capital of the company. This includes any corporation or LLC where the members contribute their own capital to the LLC and the profits belong to the company.A financial institution (bank, broker, etc.) that will trade on its own account.

14. Confirm that the account will only hold the company's proprietary assets and will not hold funds from clients or passive investors

Yes

15. Telephone (Include area code)

16. Country and main business address

Address *

Address line 2

City/Municipality *

State/Region/Province *

ZIP/Postal Code *

Country

17. Date of Incorporation/Training

18. Country of Incorporation/Training

19. Please attach incorporation documents

Note: The file upload for this document will be completed at the end of the form.

20. List all shareholders and directors with more than 10% of the company's share capital and their percentages.

21. Please attach proof of residence of the director(s)/shareholder(s) with more than 10% of the company's share capital

Note: The file upload for this document will be completed at the end of the form.

Examples A utility bill (electricity, water, gas, internet) or credit card bill, valid up to a maximum of 90 days ago. (Excludes cell phone bill)

22. Please attach the most recent tax returns of all shareholders and directors with more than a 10% stake in the company's share capital.

Note: The file upload for this document will be completed at the end of the form.

23. Please attach identity documents for all directors and shareholders with more than a 10% stake in the company's share capital.

Note: The file upload for this document will be completed at the end of the form.

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.

24. The organization has another mailing address

YesNo

25. Country and main business address

Address *

Address line 2

City/Municipality *

State/Region/Province *

ZIP/Postal Code *

Country

WE'RE SORRY

Sorry, only authorized persons can create an account on behalf of the company.

Otherwise, please contact us using the link to the corporate whatsapp on our website www.pluraladvisors.us.

30. Greeting - Mr./Mrs.

31. Name and surname

Name

Surname

32. Suffix

33. Authorized person's date of birth

34. Please confirm which of the following positions you hold in the applicant company:

DirectorSecretaryOfficial

36. If your organization is a personal or family investment vehicle, do you have a professional third-party administrator or corporate service provider?

YesNoNot applicable

37. Authorized person's email

38. Telephone number of authorized person (Include area code)

39. List the residential address of the authorized person

Address *

Address line 2

City/Municipality *

State/Region/Province *

ZIP/Postal Code *

Country

40. List your citizenships

41. My country of birth is different from my country of residence.

YesNo

42. If yes, list the country

43. Select the authorized person's document type

44. Country of issue

45. Document number of the authorized person

46. Does the identification document have an expiration date?

YesNo

47. If yes, Expiration Date (DD/MM/YYYY)

48. Upload the authorized person's proof of identity.

Note: The file upload for this document will be completed at the end of the form.

49. Tax residence of the authorized person

50. Tax ID of the authorized person

51. Authorized person's employment status

52. I am an employee of the organization requesting this account

YesNo

53. If not, list name of employer

54. Employer's address

Address *

Address line 2

City/Municipality *

State/Region/Province *

ZIP/Postal Code *

Country

55. Industry/Nature of Business

56. Position

57. Security question #1 - Name of a school you studied at?

58. Security question #2 - What is the name of your favorite sports team?

59. Security question #3 - What is the name of one of your grandmothers?

Section 3: Tax Information

60. Identify how your company is treated for tax purposes in the United States.

CorporationSocietyDisregarded entity

61. If it is a partnership or disregarded entity, is the company a Hybrid Entity claiming the benefits of a tax treaty with the United States?

YesNo

62. Is the organization a foreign bank (formed and located outside the USA)?

YesNo

63. If yes, list the country that issued the banking license

64. If so, is the company operating under an "offshore banking license"?

An "offshore banking license" is a license to carry out banking activities that prohibits the licensed entity from carrying out banking activities with the citizens or local currency of the country that issued the license.

YesNo

65. The firm certifies that it will immediately contact Plural Advisors, in writing, via e-mail in the event that the Organization begins to operate under a banking license that:

1) It is an "offshore banking license" (as defined above)

2) It was issued by a foreign country that has been designated as an NCCT country by the FATF;

3) It was issued by a foreign country that has been designated by the Secretary of the U.S. Department of the Treasury as warranting special measures due to money laundering concerns.

YesNo

75. Identify up to 5 stock exchanges, the country where the listing exchange is located and the symbol under which the shares are traded.

76. Is your organization required to register in the US under NFA Bylaw 1101 with the Commodity Futures Trading Commission (CFTC) or in Canada with IIROC or any state securities commission, or in any other country, as a futures commission merchant, introducing broker, commodity pool operator, commodity trading advisor, retail foreign exchange dealer or leverage transaction merchant?

YesNo

77. Provide details:

78. Has the organization, its affiliates or any of the directors, officers or authorized traders on the account been charged with or convicted of a crime? Or been involved in any regulatory action or settlement?

YesNo

79. Provide details:

86. If yes, who is employed by the finance company? Full name

Certain regulations (including FINRA Rule 3210) require employees of financial firms to obtain approval from their employer before the employee or an immediate family member opens a trading account. Financial firms may require the employee to provide the firm with duplicate statements. If the financial company you are affiliated with is listed below, it is participating in our Employee Track program and IB will offer to share your account's trading activity with it automatically. Select your company from the list below if it is included. Otherwise, select "Affiliated company does not participate" at the bottom of the drop-down list and include the company information below.

Name

Last name

87. Greeting from the Affiliated Person - Mr. or Mrs.

88. Person's Affiliation / Relationship with the Organization

94. Name the office.

O nome do escritório é obrigatório

Ownership and controlling persons

Our brokerage firm requires the collection of controlling party and ownership information to comply with its regulatory requirements.

Certain types of entities may be excluded or exempt from some or all of these requirements.

95. 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)

Principal Authorized RepresentativeAdd new user

96. Greeting - Mr./Mrs.

97. Name and surname

Name

Last name

98. Suffix

99. Date of birth

100. Title

101. Full residential address

Address *

Address line 2

City/Municipality *

State/Region/Province *

ZIP/Postal Code *

Country

102. Type of job

103. The new user is employed by the organization requesting this account

YesNo

104. Name of employer

105. Employer's address

Address *

Address line 2

City/Municipality *

State/Region/Province *

ZIP/Postal Code *

Country

106. Industry/Nature of employer's business

107. Position

112. Select

113. Tax residence

114. Tax ID

115. List other tax residences

Control and Corporate Information

The following questions will be 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 intermediary entity or trustee.

116. Are there any individuals who, directly or indirectly, hold 25% or more of any shareholding in the applicant entity?

If so, you will need to add the trustee's administrator information.

YesNo

117. Association with the company

118. Greeting - Mr./Mrs.

119. Name and surname

Name

Last name

120. Suffix

121. Email

122. Type of job

123. The new user is employed by the organization that is requesting this account

YesNo

124. Name of employer

125. Employer's address

Address *

Address line 2

City/Municipality *

State/Region/Province *

ZIP/Postal Code *

Country

126. Industry/Nature of employer's business

127. Employer's telephone number (Include area code)

128. Type of document

129. Country of Issue

130. Document number

131. Does your ID have an expiration date?

YesNo

132. If yes, Expiry date

133. Please attach document

Note: The file upload for this document will be completed at the end of the form.

134. Tax residence

135. Tax ID

Information

To help fight financial crime, regulators require certain financial institutions to obtain, verify and record information about the beneficial owners of legal entity clients.

Legal entities can be used to disguise involvement in terrorist financing, money laundering, tax evasion, corruption, fraud and other financial crimes. Requiring disclosure of key individuals who own or control a legal entity (i.e. the beneficial owners) helps law enforcement investigate and prosecute these crimes.

Who should fill in this form?

This form must be completed by the person opening a new account in the name of a legal entity at any of the following U.S. financial institutions: (i) a bank or credit union; (ii) a securities broker or dealer; (iii) a mutual fund; (iv) a futures commission merchant; or (v) an introducing commodities broker.

For purposes of this form, a legal entity includes a corporation, limited liability company, or other entity created by means of a public document filed with a Secretary of State or similar office, a general partnership, and any similar business entity formed in the United States or a foreign country.

Legal entity does not include sole proprietorships, unincorporated associations or individuals opening accounts in their own name.

What information do I need to provide?

Name, address, date of birth and CPF number (or passport number or other similar information in the case of foreign persons) of the following natural persons (i.e. the beneficial owners):

- Each individual, if any, who owns, directly or indirectly, 25% or more of the equity interests of the legal entity client (e.g., each natural person who owns 25% or more of the shares of a corporation);

- An individual with significant responsibility for managing the legal entity client (e.g., a chief executive officer, chief financial officer, chief operating officer, managing member, general partner, president, vice president or treasurer).

- The financial institution may also request a copy of the driver's license or other identification document of each beneficial owner listed on this form.

- Controlling person (managerial authority) This is an individual with significant responsibility for managing the legal entity listed above, such as an executive officer or senior manager (e.g., chief executive officer, chief financial officer, chief operating officer, managing member, general partner, president, vice president, treasurer); or any other individual who regularly performs similar functions.

136. Identification of 25% or more of the underlying beneficial owners. This is for each individual who, directly or indirectly, through any contract, agreement, understanding, relationship or otherwise, owns 25% or more of the shareholdings of the legal entity listed above.

Yes, there are one or more people who own 25% or more of the shares in the legal entity for which the account is being opened.No, I certify that, to the best of my knowledge, there are no natural persons who hold, directly or indirectly, 25% or more of the shareholdings of the legal entity for which the account is being opened.

137. List information on each beneficiary

138. Attach document for each beneficiary

Note: The file upload for this document will be completed at the end of the form.

File Upload

19. Please attach incorporation documents

Examples: Certificate of Incorporation, Bylaws, Operating Agreement, Register of Members or Share Certificate, Register of Directors or Appointment of Directors.

Upload File

Max file size 10MB.

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21. Please attach proof of residence of the director(s)/shareholder(s) with more than 10% of the company's share capital

Examples A utility bill (electricity, water, gas, internet) or credit card bill, valid up to a maximum of 90 days ago. (Excludes cell phone bill)

Upload File

Max file size 10MB.

Uploading...

fileuploaded.jpg

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22. Please attach the most recent tax returns of all shareholders and directors with more than a 10% stake in the company's share capital.

Upload File

Max file size 10MB.

Uploading...

fileuploaded.jpg

Upload failed. Max size for files is 10 MB.

23. Please attach identity documents for all directors and shareholders with more than a 10% stake in the company's share capital.

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.

Upload File

Max file size 10MB.

Uploading...

fileuploaded.jpg

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48. Upload the authorized person's proof of identity.

Upload File

Max file size 10MB.

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133. Please attach document

Upload File

Max file size 10MB.

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138. Attach document for each beneficiary

Upload File

Max file size 10MB.

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Agreements and terms

By continuing, you agree to all the agreements and disclosures listed below:
‍
Forms and Disclosures: Clients Agreements

Forms and Disclosures: Disclosures

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