Help Center

Open an Account

*Note: Depending on your user access level, and if you have an advisor who can access your account, some of the functions described here may not be available to you, or may be performed by your advisor.

What type of accounts do you offer?

We offer general investing, retirement, corporate and trust accounts. Learn more about account types here. Before you set up an account for a client you must first set the client up in our system.

How do I set up a new client?

Select Create Client or Create Business on your Advisor home page.

How do I open an account for a client?

After you set up a client, you can open an account under that natural person client by selecting Create an Account.

Can I open a foreign account?

Accounts are available to U.S. Citizens and U.S. Permanent Residents with a U.S. address only.

Is there a required minimum account balance to maintain my advised accounts?

There is no required minimum account balance to maintain your advised accounts on our platform. However, your Advisory Firm may have account balance minimums for clients.

What are the client requirements to open an account?

To open an account, a client must meet the following requirements:

  • 18 years of age or older
  • U.S. Citizen or Resident Alien (U.S. Permanent Resident)
  • Valid Social Security Number or Individual Tax Identification Number
  • Valid U.S. address (not a PO Box)

What types of Corporate, Trust, and other accounts can I open?

  • Corporation
  • General Partnership
  • Limited Liability Company (LLC)
  • Limited Partnership
  • Sole Proprietorship
  • Business Trust
  • Qualified Retirement Plan
  • Unincorporated Organization

Unincorporated Organization accounts are opened under the name and tax identification number of the unincorporated organization, such as a charity, foundation, labor union, government entity, educational institution, or religious group.

What happens if a client signs the required account opening documents remotely?

The client can either Sign Electronically or Print and Sign.

If you use our e-Signature process to have your client Sign Electronically:

  1. Complete the account opening process for your client and select Sign Remotely
  2. The client will receive an email prompting them to log into their account on our client site
  3. Upon logging in, the client will see Documents Requiring Your Signature
  4. 4. Your client will then verify their personal information and electronically sign our Customer Agreement and substitute IRS Form W-9.
  5. You will then be notified that your client has signed the required documents, and your client can now fund the account so that you can start trading

If you decide to have your client Print and Sign:

  1. Complete the account opening process for your client and select Sign Remotely
  2. Select New Account Certifications Form
  3. Print the form and send it to your client
  4. Have your client fill out the required information and sign the form
  5. Convert the form to a PDF and upload it to us per the instruction on the form.

Once we receive the document, we will lift the restriction on your client’s account.

How do I open additional accounts for a natural person client if they already have one?

To open additional accounts for a client:

  1. Go to your Client Accounts page
  2. In the Account Options menu located next to the specific client, select Create Account
  3. Select the account type and enter an account name
  4. Follow the on screen instructions for client authorization of the account and acceptance of our Customer Agreement.

Note that this feature is currently only available to natural person clients opening additional accounts, such as Individual, Joint, IRA, custodial and revocable trust accounts.