TD Ameritrade

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Form Library

529 College Savings Plan

  • 529 College Savings Plan Account Information Change Form

    Change the account owner, address, phone number, or name on your TD Ameritrade 529 College Savings Plan account.

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  • 529 College Savings Plan Cancel/Modify Account Features

    Change the amount, date, or bank information on an existing deduction, begin an automatic deduction, or stop an automatic deduction from your checking or savings account.

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  • 529 College Savings Plan Enrollment Form

    Open a new account for a beneficiary.

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  • 529 College Savings Plan Incoming Rollover Form

    Transfer funds between your TD Ameritrade 529 College Savings Plan accounts or roll over funds into your account from another 529 plan.

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  • 529 College Savings Plan Investment Option Change

    Change the investment portfolio in your TD Ameritrade 529 College Savings Plan account.

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  • 529 College Savings Plan Payroll Direct Deposit

    Authorize payroll deductions from your employer to be deposited in your TD Ameritrade 529 College Savings Plan account.

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  • 529 College Savings Plan Program Disclosure Statement

    Important information to help you understand and manage your TD Ameritrade 529 College Savings Plan.

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  • 529 College Savings Plan Withdrawal Request

    Request a withdrawal from your TD Ameritrade 529 College Savings Plan account.

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  • Trusted Contact Form

    This form designates your Trusted Contact Person. The TD Ameritrade 529 College Savings Plan and its affiliates can contact and disclose information about your plan to your Trusted Contact Person, however, this form does not create or give your Trusted Contact Person a power of attorney. Your Trusted Contact Person will not be able to access your Account or transfer assets to or from your Account.

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Account Application

  • Account Application

    Apply online to open a TD Ameritrade account.

    Apply Online
  • Foreign Account Opening Checklist

    Assist with opening foreign accounts.

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  • U.S. Entity Account Checklist

    Assist with opening U.S. entity accounts.

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Account Transfer Forms

  • Direct Registration System (DRS) Transfer Form

    This form is used to initiate a transfer from a Transfer Agent.

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  • Account transfer from another brokerage

    Transfer assets from another financial institution to your TD Ameritrade account.

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  • Transfer (Partial)

    Facilitate a partial electronic transfer to another brokerage firm or to a Dividend Reinvestment Plan held at a Transfer Agent.

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  • Internal Transfer

    Use this secure online wizard to complete the form needed to transfer assets from one TD Ameritrade account to another.

    Log On
  • 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.

    Log In

Agreements & Disclosures

  • Annuity Disclosure

    Designed to give you a better understanding of how TD Ameritrade works with you in making annuity recommendations.

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  • Callable Securities Procedure Disclosure

    Details Td Ameritrade’s procedures for the partial call process.

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  • Checking/Debit Card Agreement

    Checking/Debit Card Agreement Form.

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  • Client Agreement

    Terms and conditions of an account with TD Ameritrade.

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  • Commissions, Rates, and Fees

    Our low, straightforward online trading commissions let you concentrate on executing your investment strategy…not on calculating fees.

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  • Coverdell ESA Custodial Account

    Coverdell ESA Disclosure Statement and Custodial Agreement.

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  • Coverdell Education Savings Account (ESA) Fee Schedule

    Fee Schedule for the Coverdell Education Savings Account (ESA).

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  • Coverdell Education Savings Account (ESA) Verbal Distribution Authorization Form

    Verbal Authorization form for the Coverdell Education Savings Account (ESA)

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  • 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.

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  • CRS TD Ameritrade Investment Management

    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.

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  • CRS Tradewise

    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.

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  • 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.

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  • ERISA Plan Information Form

    Provide the plan information required by ERISA.

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  • Electronic Order Routing Disclosure

    Understand the difference between electronic and manual order entry systems.

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  • Employee Stock Option (ESOP) Pricing Chart

    Pricing chart for the Employee Stock Option (ESOP).

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  • Employer Member Firm Disclosure Authorization

    Authorize TD Ameritrade to send account activity information to your employer.

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  • Fixed Income Disclosure

    Designed to give you a better understanding of how TD Ameritrade works with you in making fixed income recommendations.

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  • Futures and Futures Options Risks Disclosure

    Disclosure regarding futures and futures options trading risks.

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  • IRA Disclosure (Traditional, SEP, and Rollover)

    Traditional, SEP, and Rollover IRA Disclosure Statement and Custodial Agreement.

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  • IRA Disclosure Roth

    Roth IRA Disclosure Statement and Custodial Agreement.

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  • IRA Disclosure SIMPLE

    SIMPLE IRA Disclosure Statement and Custodial Agreement.

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  • Individual Retirement Custodial Account Agreement

    Individual Retirement Disclosure Statement and Custodial Agreement.

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  • Margin Disclosure Document

    Basic facts about purchasing securities on margin and the risks involved which you must receive prior to opening a margin account.

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  • Non Professional Subscriber Agreement (OPRA)

    OPRA Subscriber Agreement that must be completed by Non Professionals receiving real-time NYSE market data.

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  • Non Professional Subscriber Agreement Electronic (NYSE)

    NYSE Subscriber Agreement that must be completed by Non Professionals receiving real-time NYSE market data.

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  • Professional Subscriber Agreement (NYSE)

    NYSE Subscriber Agreement that must be completed by professionals receiving real-time NYSE market data.

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  • Professional Subscriber Agreement (OPRA)

    OPRA Subscriber Agreement that must be completed by professionals receiving real-time OPRA market data.

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  • Qualified Retirement Plan and Trust

    Defined Contribution Basic Plan Document.

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  • Rollover Recommendation

    Designed to give you a better understanding of how TD Ameritrade works with you in making rollover recommendations.

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  • Simple Individual Retirement Custodial Account Agreement

    Simple IRA Disclosure Statement and Custodial Agreement.

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  • 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.

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  • TD Ameritrade Investment Management Service Agreement

    TD Ameritrade Investment Management, LLC Service Agreement.

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  • Trusted Contact Authorization Form

    Add a Trusted Contact to an account

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  • 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.

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Deposits & Withdrawals

  • Checking Request (IRA)

    IRA checking application to take IRA distributions by writing checks against your Traditional, Rollover, or SEP IRA.

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  • Checking/Debit Request (Non-IRA)

    Establish a free checking account and an ATM/VISA® Debit Card to use with an existing TD Ameritrade account.

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  • Deposit Slip

    For all deposits except IRA accounts.

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  • Deposit Slip (Coverdell)

    For deposits to a Coverdell Education Savings Account.

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  • Deposit Slip (IRA)

    For deposits to IRA accounts.

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  • Qualified Retirement Plan Distribution Request

    Request a distribution from a Qualified Retirement Plan/403(b).

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Futures & Forex

  • Forex Account Disclosure

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  • Forex Affidavit of Sole Proprietorship

    Forex Affidavit of Sole Proprietorship.

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  • Forex Corporate Authorization

    Authorizes individuals of a corporation to have forex trading authority.

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  • Forex Corporate Personal Guarantee

    Authorizes a client to personally guarantee a Corporation to trade forex.

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  • Forex LLC Authorization

    Authorizes individuals of a LLC to have forex trading authority.

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  • Forex LLC Personal Guarantee

    Authorizes a client to personally guarantee a LLC to trade commodity forex

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  • Forex Partnership Account Agreement

    Authorizes individuals of a partnership to have forex trading authority.

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  • Forex Partnership Personal Guarantee

    Authorizes a client to personally guarantee a Partnership to trade forex

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  • Forex Trustee Certification

    Authorizes trustees to open or maintain a forex account.

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  • 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.

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  • Futures Partnership Personal Guarantee

    Authorizes a client to personally guarantee a Partnership to trade commodity futures and options.

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  • Futures and Forex Entity Disclosure

    Provide additional information on an entity for Futures and Forex trading.

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  • Futures/Forex Exemption Letter

    Client attestation of exemption of registration as a Commodity Trading Advisor with the CFTC under the Commodity Exchange Act

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  • Uniform Futures and Options on Futures Disclosures

    Risk Disclosure for Futures and Options on Futures.

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IRS Forms and Tax Guides

  • 1040/US Individual Income Tax Return

    This form is required to file your individual tax return.

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  • 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.

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  • 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.

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  • 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).

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  • 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.

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  • 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).

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  • Form 1116

    Foreign Tax Credit. Attach to Form 1040, 1040NR, or 990-T.

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  • Form 4952

    Investment Interest Expense Deduction.

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  • Form 5329

    Additional Taxes on Qualified Plans (Including IRAs) and Other Tax-Favored Accounts.Attach to Form 1040 or Form 1040NR.

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  • Form 8606

    Nondeductible IRAs. Attach to form 1040, Form 1040A, or Form1040NR.

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  • Form 8814

    Parents’ Election to Report Child’s Interest and dividends. Attach to parents’ form 1040 or Form 1040NR.

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  • Form 8815

    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.

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  • 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.

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  • 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.

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  • 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.

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  • Savings Incentive Match Plan for Employees 5305-SIMPLE

    Use with the IRA application to set up a SIMPLE IRA that requires all contributions to be initially deposited at a designated financial institution.

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  • Savings Incentive Match Plan for Employees 5305-SIMPLE

    Use with the IRA application to set up a SIMPLE IRA that requires all contributions to be initially deposited at a designated financial institution.

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  • Schedule A

    Use this form for itemized deductions.

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  • Schedule B

    This form is for interest and ordinary dividends. Attach to 1040A or 1040.

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  • Schedule D

    Use this form to enter your capital gains and losses. Attach to 1040 or 1040 NR.

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  • Schedule D-1

    This is a continuation sheet for Schedule D.

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  • Simplified Employee Pension Form 5305-SEP

    Employer agreement in addition to the IRA application to provide contributions for eligible employees into a SEP.

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  • 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.

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  • Tax Withholding Update Form

    Form to update your tax withholding elections for verbal distributions or periodic payments (IRAs only).

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  • W-8BEN Entity

    Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding: Form to be used by foreign entities

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  • W-8BEN Substitute

    Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding

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  • W-8ECI

    Certificate of Foreign Person’s Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States.

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  • W-8EXP

    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.

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  • W-8IMY

    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.

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  • W-9

    Request for Taxpayer Identification Number and Certification.

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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.

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  • Foreign Entity Account Addendum

    Provide additional information about a foreign entity, its beneficial ownership, and its account objectives.

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  • 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.

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  • Ownership Structure Form for Entities

    To identify the ownership structure for entities.

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  • Sole Proprietorship Certification

    Certify that the named individual is the sole proprietor of the business opening the account.

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  • Third-Party Release

    Give a third party permission to deposit securities into a TD Ameritrade account.

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Other Forms

  • ACH Request

    Set up or change a bank for making ACH withdrawals of your dividends and interest from your TD Ameritrade account.

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  • Affidavit of Custodianship

    Deposit securities for the benefit of a minor under the Uniform Gift to Minors Act.

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  • Agent Authorization Limited to Account Inquiry

    Authorizes the ability to inquire about account status, transfers, positions or balances.

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  • Alternative Investment Agreement

    The requirements for holding alternative investment in your account.

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  • Alternative Investment Notice

    Purchase, deposit, or transfer alternative investments into your account.

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  • Business Continuity Statement

    Explains TD Ameritrade's plan to provide continued account access if business operations are disrupted.

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  • Change of Beneficiary (Coverdell)

    Change the designated beneficiary of a Coverdell Education Savings Account.

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  • Characteristics and Risks of Standardized Options

    Options Disclosure Document from the Options Clearing Corporation which should be read by investors before investing in options.

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  • Custodian Successor UTMA/UGMA

    Designate a successor custodian for a UTMA or UGMA account.

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  • Custodianship Resignation

    Facilitate the resignation of a custodian and appointment of a new custodian on a UTMA or UGMA account.

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  • Distribution Request (Coverdell)

    Request a distribution from a Coverdell Education Savings Account.

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  • Dividend Reinvestment Program Terms & Conditions

    Terms and conditions of the TD Ameritrade dividend Reinvestment Program.

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  • Entity Authorized Agent Form

    Form to verify an authorized agent on an entity's new account when the agent is another entity.

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  • Extended-Hours Trading Rules

    Rules and risks of trading during Extended-Hours Trading sessions.

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  • Futures Account - Partnership Futures Account Agreement

    Authorizes individuals of a partnership to have futures trading authority.

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  • Futures Account -Limited Liability Company (LLC) Authorization

    Authorizes a LLC to establish a Margin Account for trading stocks, bonds, options, and other securities.

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  • Futures Account -Personal Guarantee of a Corporation

    Authorizes a client to personally guarantee a Corporation to trade commodity futures and options.

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  • Futures Account -Personal Guarantee of a Limited Liability Company

    Authorizes a client to personally guarantee a LLC to trade commodity futures and options.

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  • Futures Account -Trustee Certification for Futures Account

    Authorizes trustees to open or maintain a Futures account.

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  • Futures Account Transfer Form

    Transfer an existing futures account to TD Ameritrade.

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  • Futures Account–Affidavit of Sole Proprietorship Futures Account Agreement

    Establishes the sole owner of a futures account.

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  • Futures Corporate Account Authorization

    Authorizes a Corporation to trade securities and permits margin transactions options and short sales.

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  • Futures Intraday Margin

    Basic facts about trading Futures utilizing Intraday Margin and the risks involved.

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  • Futures Quotes - Uniform Subscriber Addendum

    Terms and conditions for subscribers of futures quotes.

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  • IPO Risk Disclosure Statement

    Risks and disclosures in investing in initial public offerings (IPOs) and new issue securities.

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  • Interactive Voice Response Phone System Instructions

    Explains the Interactive Voice Response (IVR) telephone system that you can use to access your account via telephone.

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  • Irrevocable Stock or Bond Power

    Required if stock certificates sent for deposit have not been endorsed.

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  • Letter of Instruction (Escrow)

    Letter of Instruction Escrow/Mortgage Account Wire Request to initiate a wire to an Escrow account in your name.

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  • Letter of Instruction Foreign Wire

    Letter of Instruction International Bank Wire Request to initiate a wire to a foreign financial institution.

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  • Letter of Intent to Exercise Stock Option

    Letter of intent to exercise stock options and provide trading instructions.

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  • Restricted-Stock Handling Guidelines, Affiliate

    Restricted-stock guidelines for an affiliate.

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  • Risk Disclosure Statement CFTC

    Risks and disclosures from the Commodity Futures Trading Commission.

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  • Rules and Regulations for New Issue Investing

    Rules regarding TD Ameritrade’s New Issue offerings.

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  • 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.

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  • 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

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  • Signature Verification Form

    Use this form to provide an actual written signature if you opened an account online.

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  • Stock Option Agreement

    Employee Stock Option agreement form

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  • Stock Option Pricing Chart

    Employee Stock Option pricing chart

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  • Trusted Contact Authorization

    Add a Trusted Contact to an account.

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  • Wire In Instructions

    Wire funds from another financial institution into your TD Ameritrade brokerage account online or via paper form.

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  • Wire Out Instructions

    Wire funds from your TD Ameritrade brokerage account to another financial institution online or via paper form.

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Resources & References

  • Account Handbook

    Resource for managing your brokerage account.

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  • Collateral Loan Requirements

    Pledged account qualifications.

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  • 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.

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  • 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.

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  • IRA Re-characterization

    Recharacterize an IRA contribution for either the current year or a prior year to another IRA.

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  • IRA Revocation

    Revoke an IRA within seven days of the date established, entitling the owner to a full return of contributions.

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  • Margin Handbook

    Resource for managing a margin account.

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  • Power of Attorney Release

    Give TD Ameritrade power of attorney (POA) to transfer a security.

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  • Privacy Statement

    TD Ameritrade Privacy Statement, explaining how the company uses and protects client information.

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  • Sell by Prospectus

    Guidelines for selling restricted stock by prospectus

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  • Statement Guide

    A quick reference guide to reading your statement.

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Retirement Accounts

  • IRA Change of Beneficiary

    Change the beneficiary of an Individual Retirement Account.

    Log In
  • IRA Verbal Distribution Authorization Form

    Authorize TD Ameritrade to accept verbal distribution instructions for variable amounts.

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  • Removal of Excess

    Remove an excess contribution made to an IRA, SEP, or Coverdell Education Savings account.

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  • Required Minimum Distribution

    For Retirement Account and Qualified Retirement Plan clients who have attained age 70½.

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  • Roth IRA Conversion Form

    Convert your account to a Roth IRA.

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Stock Certificate Transfers

  • Affidavit of Domicile

    Establish the executor, administrator, or survivor of an account owner who has died.

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  • Rule 144 Affiliate

    Client pledge for affiliates regarding Rule 144.

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  • Rule 144 Non-Affiliate

    Client pledge for non-affiliates regarding Rule 144.

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  • Rule 145

    Restricted-stock guidelines for Rule 145 transactions, including client statement and questionnaire.

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  • Rule 701

    Client pledge regarding Rule 701.

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  • Stock Option Service

    Employee Stock Option Service guidelines.

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Trading Authorization Forms

  • Stop Release

    Authorize TD Ameritrade to release a stop that was placed on securities, enabling the shares to be deposited into an account.

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  • 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.

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  • Trustee Certification of Trustee Powers

    Certify trust information needed to update one or more accounts for a trust.

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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.

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  • 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).

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  • 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.

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  • Margin/Options Upgrade

    Apply to add margin or option privileges to an account via paper form.

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  • Name Change Authorization

    Notify TD Ameritrade when your name has changed due to marriage, divorce or other reasons.

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  • 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).

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  • Required Account Information Update Form

    Update information for current Account Owners.

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  • 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.

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Frequently Used Forms

  • Account Application

    Apply online to open a TD Ameritrade account.

    Apply Online
  • 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.

    Log On
  • Transfer Wizard (Internal) (Web-based)

    Use this secure online wizard to complete the form needed to transfer assets from one TD Ameritrade account to another.

    Log On
  • IRA Disclosure (Traditional,SEP, and Rollover)

    Traditional, SEP, and Rollover IRA Disclosure Statement and Custodial Agreement.

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  • Deposit Slip

    For all deposits except IRA accounts.

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  • Deposit Slip (IRA)

    For deposits to IRA accounts.

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  • Account Handbook

    Resource for managing your brokerage account.

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  • Margin Handbook

    Resource for managing a margin account.

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  • Margin/Options Upgrade

    Apply to add margin or option privileges to an account via paper form.

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