All the brokerage forms you need—in one place
Account Transfer Forms
Direct Registration System (DRS) Transfer Form
This form is used to initiate a transfer from a Transfer Agent.
Transfer Out Direct Registration System (DRS) and Certificate Request
The form is used to request a transfer out to a transfer agent or obtain a certificate.
Account transfer from another brokerage
Transfer assets from another financial institution to your TD Ameritrade account.
Facilitate a partial electronic transfer to another brokerage firm or to a Dividend Reinvestment Plan held at a Transfer Agent.
Transfer on Death Agreement
Establish a Transfer on Death account in which individuals, joint tenants with rights of survivorship, or tenants by entireties can designate beneficiaries.
Agreements & Disclosures
Alternative Investments Purchase and Custody
Submitted for Alternative Investment purchase and cap call requests.
Basic Plan Document - Individual 401(k) – CYCLE 3
Individual 401(k) Basic Plan Document - Solo/Individual 401(k) Plans only. Updated for IRS Cycle 3 (2022 and later) and conforms with Charles Schwab Individual 401(k) plan document. Includes IRS Opinion Letter.
Basic Plan Document - Profit Sharing Plan and Money Purchase Pension Plan – CYCLE 3
QRP Basic Plan Document - Profit Sharing and/or Money Purchase Pension Plans only. Updated for IRS Cycle 3 (2022 and later) and conforms with Charles Schwab QRP plan document. Includes IRS Opinion Letter.
Callable Securities Procedure Disclosure
Details Td Ameritrade’s procedures for the partial call process.
Checking/Debit Card Agreement
Checking/Debit Card Agreement Form.
Terms and conditions of an account with TD Ameritrade.
Commissions, Rates, and Fees
Our low, straightforward online trading commissions let you concentrate on executing your investment strategy…not on calculating fees.
Coverdell ESA Custodial Account
Coverdell ESA Disclosure Statement and Custodial Agreement.
Coverdell Education Savings Account (ESA) Fee Schedule
Fee Schedule for the Coverdell Education Savings Account (ESA).
Coverdell Education Savings Account (ESA) Verbal Distribution Authorization Form
Verbal Authorization form for the Coverdell Education Savings Account (ESA)
CRS TDA Inc.
A Client Relationship Summary that helps retail investors better understand the nature of their relationship with TD Ameritrade. Let’s you more easily compare offerings and services across the industry.
Disclosure Brochure (ADV Part 2A)
Information about TD Ameritrade Investment Management, LLC that should be considered before or at the time of obtaining advisory services from TD Ameritrade Investment Management, LLC.
ERISA Plan Information Form
Provide the plan information required by ERISA.
ERISA Plan Information Form Provide the plan information required by ERISA. View Electronic Order Routing Disclosure
Understand the difference between electronic and manual order entry systems.
Employee Stock Option (ESOP) Pricing Chart
Pricing chart for the Employee Stock Option (ESOP).
Employer Member Firm Disclosure Authorization
Authorize TD Ameritrade to send account activity information to your employer.
Fixed Income Disclosure
Designed to give you a better understanding of how TD Ameritrade works with you in making fixed income recommendations.
IRA Disclosure (Traditional, SEP, and Rollover)
IRA Disclosure Roth
Roth IRA Disclosure Statement and Custodial Agreement.
IRA Disclosure SIMPLE
SIMPLE IRA Disclosure Statement and Custodial Agreement.
IRA Disclosure SIMPLE SIMPLE IRA Disclosure Statement and Custodial Agreement. View Individual Retirement Custodial Account Agreement
Individual Retirement Disclosure Statement and Custodial Agreement.
Margin Disclosure Document
Basic facts about purchasing securities on margin and the risks involved which you must receive prior to opening a margin account.
Non Professional Subscriber Agreement (OPRA)
OPRA Subscriber Agreement that must be completed by Non Professionals receiving real-time NYSE market data.
Non Professional Subscriber Agreement Electronic (NYSE)
NYSE Subscriber Agreement that must be completed by Non Professionals receiving real-time NYSE market data.
Professional Subscriber Agreement (NYSE)
NYSE Subscriber Agreement that must be completed by professionals receiving real-time NYSE market data.
Professional Subscriber Agreement (OPRA)
OPRA Subscriber Agreement that must be completed by professionals receiving real-time OPRA market data.
Qualified Retirement Plan and Trust
Defined Contribution Basic Plan Document.
Designed to give you a better understanding of how TD Ameritrade works with you in making rollover recommendations.
Simple Individual Retirement Custodial Account Agreement
Simple IRA Disclosure Statement and Custodial Agreement.
TD Ameritrade Business Continuity Statement
Provides plans intended to permit the firm to maintain business operations due to disruptions such as power outages, natural disasters or other significant events.
TD Ameritrade Investment Management Service Agreement
TD Ameritrade Investment Management, LLC Service Agreement.
Trusted Contact Authorization Form
Add a Trusted Contact to an account
Your Relationship With TD Ameritrade
Provides information about TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc. required under ERISA Rule 408b-2 that must be disclosed to an ERISA plan fiduciary before their ERISA plan opens an account with us.
Deposits & Withdrawals
Checking Request (IRA)
IRA checking application to take IRA distributions by writing checks against your Traditional, Rollover, or SEP IRA.
Checking/Debit Request (Non-IRA)
Establish a free checking account and an ATM/VISA® Debit Card to use with an existing TD Ameritrade account.
Deposit Slip (Coverdell)
For deposits to a Coverdell Education Savings Account
Qualified Retirement Plan Distribution Request
Request a distribution from a Qualified Retirement Plan/403(b).
Futures & Forex
Additional Risk Disclosure for Futures
Form served to new and existing Futures clients when they meet certain heightened risk criteria (examples: lower net worth or retirement age).
Forex Account Disclosure
Read the disclosure regarding electronic trading and order routing systems and risks associated with forex.
Forex Affidavit of Sole Proprietorship
Authorizes individuals of a corporation to have forex trading authority.
Forex Corporate Personal Guarantee
Authorizes a client to personally guarantee a Corporation to trade forex.
Forex LLC Authorization
Authorizes individuals of a LLC to have forex trading authority.
Forex LLC Personal Guarantee
Authorizes a client to personally guarantee a LLC to trade commodity forex
Forex Partnership Account Agreement
Authorizes individuals of a partnership to have forex trading authority.
Forex Partnership Personal Guarantee
Authorizes a client to personally guarantee a Partnership to trade forex
Forex Trustee Certification
Authorizes trustees to open or maintain a forex account.
Futures & Forex Letter of Authorization for Affiliated Account Owners
Complete this form if you are an affiliated CTA, CPO, FDM, FCM, an IB, or are registered with the NFA.
Futures Partnership Personal Guarantee
Authorizes a client to personally guarantee a Partnership to trade commodity futures and options.
Futures and Forex Entity Disclosure
Provide additional information on an entity for Futures and Forex trading.
Futures/Forex Exemption Letter
Client attestation of exemption of registration as a Commodity Trading Advisor with the CFTC under the Commodity Exchange Act
Uniform Futures and Options on Futures Disclosures
Risk Disclosure for Futures and Options on Futures.
IRS Forms and Tax Guides
1040/US Individual Income Tax Return
This form is required to file your individual tax return.
5304-SIMPLE (Savings Incentive Match Plan for Employees)
Use this form in addition to the IRA application to set up a SIMPLE IRA that allows plan participants to select the financial institution for receiving their contributions.
5305-SA SIMPLE Individual Retirement Custodial Account
Employees complete this form in addition to the IRA application to establish a SIMPLE IRA that will hold plan contributions.
5305-SEP (Simplified Employee Pension) Form
Employer agreement in addition to the IRA application to provide contributions for eligible employees into a Simplified Employee Pension (SEP).
5305-SIMPLE (Savings Incentive Match Plan for Employees)
Use this form in addition to the IRA application to set up a SIMPLE IRA that requires all contributions to be initially deposited at a designated financial institution.
5305A-SEP (Simplified Employee Pension) Form
Salary reduction form in addition to the IRA application that allows employees to make elective deferrals to a Simplified Employee Pension (SEP).
Foreign Tax Credit. Attach to Form 1040, 1040NR, or 990-T.
Investment Interest Expense Deduction.
Additional Taxes on Qualified Plans (Including IRAs) and Other Tax-Favored Accounts.Attach to Form 1040 or Form 1040NR.
Nondeductible IRAs. Attach to form 1040, Form 1040A, or Form1040NR.
Parents’ Election to Report Child’s Interest and dividends. Attach to parents’ form 1040 or Form 1040NR.
Exclusion of Interest From Series EE and I. This form is for filers without qualified higher education expenses.Attach to form 1040 or form 1040A.
Letter of Explanation for U.S. Mailing Address Attachment to Form W-8BEN
Letter of Explanation for a U.S. Mailing Address/U.S. Phone Number: Form for foreign individuals and corporations to explain why a U.S. mailing address is being used to receive correspondence and/or why a U.S. phone number is on the account.
SIMPLE Individual Retirement Custodial Account 5305-SA
Employees complete this form in addition to the IRA application to establish a SIMPLE IRA to hold plan contributions.
Savings Incentive Match Plan for Employees 5304-SIMPLE
Use with the IRA application to set up a SIMPLE IRA that allows participants to select the financial institution for receiving their contributions.
Savings Incentive Match Plan for Employees 5305-SIMPLE
Savings Incentive Match Plan for Employees 5305-SIMPLE
Use this form for itemized deductions.
This form is for interest and ordinary dividends. Attach to 1040A or 1040.
Use this form to enter your capital gains and losses. Attach to 1040 or 1040 NR.
This is a continuation sheet for Schedule D.
Simplified Employee Pension Form 5305-SEP
Employer agreement in addition to the IRA application to provide contributions for eligible employees into a SEP.
Simplified Employee Pension Form 5305A-SEP
Salary reduction form in addition to the IRA application that allows employees to make elective deferrals to a SEP.
Tax Withholding Update Form
Form to update your tax withholding elections for verbal distributions or periodic payments (IRAs only).
Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding: Form to be used by foreign entities
Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding
Certificate of Foreign Person’s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States.
Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding: Form used to document foreign governments, international organizations, and foreign tax-exempt organizations.
Certificate of Foreign Intermediary, Foreign Flow-Through Entity, or Certain U.S. Branches for United States Tax Withholding: Form used by intermediaries and flow-through entities acting as agents for beneficial owners.
Request for Taxpayer Identification Number and Certification.
Legal Entity Forms
BSA/AML and OFAC Certification
Certification letter for TD Ameritrade Holding Corporation and applicable subsidiaries regarding compliance with applicable BSA/Anti-Money Laundering and Office of Foreign Assets Control laws and regulations.
Foreign Entity Account Addendum
Provide additional information about a foreign entity, its beneficial ownership, and its account objectives.
ID Theft Prevention Program Letter
Certification letter for financial institutions requesting documentation of TD Ameritrade's compliance with the Firm's Identity Theft Prevention Program.
Ownership Structure Form for Entities
To identify the ownership structure for entities.
Sole Proprietorship Certification
Certify that the named individual is the sole proprietor of the business opening the account.
Give a third party permission to deposit securities into a TD Ameritrade account.
Set up or change a bank for making ACH withdrawals of your dividends and interest from your TD Ameritrade account.
Affidavit of Custodianship
Deposit securities for the benefit of a minor under the Uniform Gift to Minors Act.
Agent Authorization Limited to Account Inquiry
Authorizes the ability to inquire about account status, transfers, positions or balances.
Alternative Investment Agreement
The requirements for holding alternative investment in your account.
Business Continuity Statement
Explains TD Ameritrade's plan to provide continued account access if business operations are disrupted.
Change of Beneficiary (Coverdell)
Change the designated beneficiary of a Coverdell Education Savings Account.
Characteristics and Risks of Standardized Options
Options Disclosure Document from the Options Clearing Corporation which should be read by investors before investing in options.
Custodian Successor UTMA/UGMA
Designate a successor custodian for a UTMA or UGMA account.
Facilitate the resignation of a custodian and appointment of a new custodian on a UTMA or UGMA account.
Distribution Request (Coverdell)
Request a distribution from a Coverdell Education Savings Account.
Dividend Reinvestment Program Terms & Conditions
Terms and conditions of the TD Ameritrade dividend Reinvestment Program.
Entity Authorized Agent Form
Form to verify an authorized agent on an entity's new account when the agent is another entity.
Extended-Hours Trading Rules
Rules and risks of trading during Extended-Hours Trading sessions.
Futures Account - Partnership Futures Account Agreement
Authorizes individuals of a partnership to have futures trading authority.
Futures Account -Limited Liability Company (LLC) Authorization
Authorizes a LLC to establish a Margin Account for trading stocks, bonds, options, and other securities.
Futures Account -Personal Guarantee of a Corporation
Authorizes a client to personally guarantee a Corporation to trade commodity futures and options.
Futures Account -Personal Guarantee of a Limited Liability Company
Authorizes a client to personally guarantee a LLC to trade commodity futures and options.
Futures Account -Trustee Certification for Futures Account
Futures Account Transfer Form
Futures Account–Affidavit of Sole Proprietorship Futures Account Agreement
Establishes the sole owner of a futures account.
Futures Corporate Account Authorization
Authorizes a Corporation to trade securities and permits margin transactions options and short sales.
Futures Intraday Margin
Basic facts about trading Futures utilizing Intraday Margin and the risks involved.
Futures Quotes - Uniform Subscriber Addendum
Terms and conditions for subscribers of futures quotes.
IPO Risk Disclosure Statement
Risks and disclosures in investing in initial public offerings (IPOs) and new issue securities.
Interactive Voice Response Phone System Instructions
Explains the Interactive Voice Response (IVR) telephone system that you can use to access your account via telephone.
Irrevocable Stock or Bond Power
Required if stock certificates sent for deposit have not been endorsed.
Letter of Instruction (Escrow)
Letter of Instruction Escrow/Mortgage Account Wire Request to initiate a wire to an Escrow account in your name.
Letter of Instruction Foreign Wire
Letter of Instruction International Bank Wire Request to initiate a wire to a foreign financial institution.
Letter of Intent to Exercise Stock Option
Letter of intent to exercise stock options and provide trading instructions.
Restricted-Stock Handling Guidelines, Affiliate
Restricted-stock guidelines for an affiliate.
Risk Disclosure Statement CFTC
Risks and disclosures from the Commodity Futures Trading Commission.
Rules and Regulations for New Issue Investing
Rules regarding TD Ameritrade’s New Issue offerings.
Section 408(b)(2) Disclosure Summary
Provides ERISA plan fiduciaries with information about the services TD Ameritrade provides and the compensation they receive for such services.
Section 408(b)(2) Summary Disclosure Fund Affiliate and Third-Party Fund Service Provider Payor List
Provides ERISA plan fiduciaries with further information about payments that may be made by mutual fund affiliates and service providers
Signature Verification Form
Use this form to provide an actual written signature if you opened an account online.
Stock Option Agreement
Employee Stock Option agreement form
Stock Option Pricing Chart
Employee Stock Option pricing chart
Supplemental Account Application for Trusts as Tenants in Common
Required form to open an account for Trusts as Tenants in Common.
Trusted Contact Authorization
Add a Trusted Contact to an account.
Wire In Instructions
Wire funds from another financial institution into your TD Ameritrade brokerage account online or via paper form.
Wire Out Instructions
Wire funds from your TD Ameritrade brokerage account to another financial institution online or via paper form.
Resources & References
Collateral Loan Requirements
Pledged account qualifications.
Financial Transaction Tax (FTT)–France
French securities are subject to a financial transaction tax (FTT) on net new purchases of ADRs and shares of certain companies established in their country.
Financial Transaction Tax (FTT)–Italy
Italian securities are subject to a financial transaction tax (FTT) on net new purchases of ADRs and shares of certain companies established in their country.
Financial Transaction Tax (FTT)–Spanish
Spanish securities are subject to a financial transaction tax (FTT) on net new purchases of ADRs and shares of certain companies established in their country.
Recharacterize an IRA contribution for either the current year or a prior year to another IRA.
Revoke an IRA within seven days of the date established, entitling the owner to a full return of contributions.
Power of Attorney Release
Give TD Ameritrade power of attorney (POA) to transfer a security.
TD Ameritrade Privacy Statement, explaining how the company uses and protects client information.
Sell by Prospectus
Guidelines for selling restricted stock by prospectus
A quick reference guide to reading your statement.
IRA Change of Beneficiary
Change the beneficiary of an Individual Retirement Account.
IRA Verbal Distribution Authorization Form
Authorize TD Ameritrade to accept verbal distribution instructions for variable amounts.
Removal of Excess
Remove an excess contribution made to an IRA, SEP, or Coverdell Education Savings account.
Required Minimum Distribution
For Retirement Account and Qualified Retirement Plan clients who have attained age 70½.
Roth IRA Conversion Form
Convert your account to a Roth IRA.
Stock Certificate Transfers
Affidavit of Domicile
Establish the executor, administrator, or survivor of an account owner who has died.
Rule 144 Affiliate
Client pledge for affiliates regarding Rule 144.
Rule 144 Non-Affiliate
Client pledge for non-affiliates regarding Rule 144.
Restricted-stock guidelines for Rule 145 transactions, including client statement and questionnaire.
Client pledge regarding Rule 701.
Stock Option Service
Employee Stock Option Service guidelines.
Trading Authorization Forms
Authorize TD Ameritrade to release a stop that was placed on securities, enabling the shares to be deposited into an account.
Trading Authorization (Full or Limited)
Establish authorized agents who can take action in an account on behalf of and without notice to the account owner; full authorization allows withdrawal privileges, limited authorization allows the purchase and sale of securities only.
Trustee Certification of Trustee Powers
Certify trust information needed to update one or more accounts for a trust.
Updating Your Account
Change of Address
Change the physical and/or mailing address or add a telephone number and/or email address to an account.
Durable Power of Attorney
Sign in front of two witnesses and a notary to add a Durable Power of Attorney to your TD Ameritrade account(s).
Letter of Authorization for Affiliated Account Owners
Account owners associated with a Financial Industry Regulatory Authority (FINRA) or Exchange Member firm submit this form with an account application.
Name Change Authorization
Notify TD Ameritrade when your name has changed due to marriage, divorce or other reasons.
Power of Attorney Affidavit and Indemnification
Sign in front of a notary attesting to the validity, and then attach it to your Durable Power of Attorney to add to account(s).
Required Account Information Update Form
Update information for current Account Owners.
Tenants in Common
Use this form to update an existing account to a declaration of ownership in a Joint account held as tenants in common; also establishes the percentage of ownership for each owner.
Frequently Used Forms
Transfer Wizard (External) (Web-based)
Use this secure online wizard to complete the form needed to initiate a transfer from another brokerage account to your TD Ameritrade account.
Transfer Wizard (Internal) (Web-based)
IRA Disclosure (Traditional,SEP, and Rollover)