PERSHING FORMS

To assist you as a Representatives of WIS, in keeping your focus where it belongs, on your business, below is a list of Pershing’s most commonly used account types as well as a link to the required forms for each of these account types.

For a registration type not listed, please contact Operations to discuss. Additional documents may be necessary if an account requires Margin, Option, Check-writing or Debit Cards.

We do our best to ensure that the documents found in this section are the most current. Should you decide to keep any of these documents on your desktop, we recommend you review the forms on a consistent basis to confirm those you have are the most recent.

Form

Description

Pershing 529 Plan Accounts

Pershing 529 Application Form

Use this form to open a 529 Plan brokerage account with WIS to be held at Pershing LLC (“Pershing”)

Pershing 529 ACH Form

Complete this form to begin the electronic transfer of funds between your bank/credit union account and your 529 Plan brokerage account.
*Not Eligible for Docusign

Pershing 529 Transfer Form

If your 529 Plan account is not registered to your current broker-dealer, this transfer cannot be completed. Prior to completing this form, please be sure to contact the program manager to request a broker-dealer change on your existing 529 Plan

Pershing Charges and Fees

WIS believes that it is appropriate to set out those fees which may affect your account(s) but are not generally itemized, as are commissions on your printed confirmation or statements. These fees, which are subject to change, can include such charges as a wire fund fee, inactive fee or interest on hard to borrow securities.

Western Disclosures Declaration

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

Separate W-9

WIS believes that is appropriate to publish those fees which may affect your account(s) but are not generally itemized, (as commissions are) on your printed confirmation or statements.

WIS 529 Plan Analyzer

This form is intended to analyze the expense difference between the “C” share being offered and its Class “A” counterpart. This form should be used for other shares classes as well, such as E, M or T shares.

Pershing Corporate Accounts

WIS Client Agreement

Accompanies any and all new business established through WIS

Separate W-9

Request for Taxpayer Identification Number and Certification

Pershing Charges and Fees

Western International Securities (Western International) believes that it is appropriate to set out those fees which may affect your account(s) but are not generally itemized, as are commissions on your printed confirmation or statements. These fees, which are subject to change, can include such charges as a wire fund fee, inactive fee or interest on hard to borrow securities.

Corporate Resolution Certification with Certification Regarding Beneficial Owner

Required for all legal entities. Used to gather information of who owns, controls and profits from the legal entities.

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Corporate Resolution Certification with Certification Regarding Beneficial Owner

Required for all legal entities. Used to gather information of who owns, controls and profits from the legal entities.

Pershing Coverdell Education IRA

Coverdell Education IRA Application & Plan Agreement

Required for Coverdell Education IRA Accounts

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

WIS Client Agreement

Accompanies any and all new business established through WIS

Pershing Estate Accounts

WIS Client Agreement

Accompanies any and all new business established through WIS

Separate W9

Request for Taxpayer Identification Number and Certification

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Letters of Testamentary

Provided by the Court

Affidavit of Domicile

A notarized affidavit executed by the legal representative of an estate reciting the residence of the decedent at the time of death

* Not eligible for DocuSign

Pershing Individual Accounts

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer on Death Account Agreement Individual

Use this form to authorize the designation of an individual account as “Transfer on Death.”

Separate W-9

Required for Taxpayers Identification Number and Certification

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Margin Agreement and Disclosure

Use this form to establish a CreditAdvance account for margin trading (if approved).

Pershing IRA (Traditional)

WIS Client Agreement

Accompanies any and all new business established through WIS

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

IRA Adoption Agreement

Required for Traditional Self-Directed Individual Retirement Accounts. Revised June 2021.

Pershing IRA Bene–Death of IRA Owner - Spouse wants to take IRA as own OR distribute to himself

***

If number one and an IRA account is already open, please skip 1 & 2

1. Traditional IRA Application

1. Establish a Traditional IRA account using this IRA Application

2. WIS Client Agreement

2. Include a WIS Client Agreement

3. Death Certificate

3. Include a copy of the original IRA owner’s death certificate

4. Asset Movement Form

4. Complete and Submit the Asset Movement Form

* Not eligible for DocuSign

5. IRA Distribution Form

5. If the Beneficiary wants to disbribute funds to himself he would complete this IRA distribution form

* Not eligible for DocuSign

6. Pershing Charges and Fees

7. Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

8. WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Pershing IRA Beneficiary - Death of IRA Owner-Spouse wants to open a Bene IRA (this is not usual)

1. Inherited IRA or Inherited ROTH Application

1. Establish an Inherited Traditional IRA or an Inherited ROTH IRA account using this Application ** This document is 46 pages long. The ROTH is pages 23 – 39. The Inherited IRA Adoption is page 41 – 46. You must select IRA or ROTH. Revised 06/2021

2. WIS Client Agreement

2.Include a WIS Client Agreement

3. Death Certificate

3.Include a copy of the original IRA owner’s death certificate

4. Asset Movement Form

4. Complete and Submit the Asset Movement Form

* Not eligible for DocuSign

5. IRA Distribution Form

5. If the Beneficiary wants to disbribute funds to himself he would complete this IRA distribution form

* Not eligible for DocuSign

6. Pershing Charges and Fees

7. Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

8. WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Pershing IRA Beneficiary – Death of IRA Owner - NON-Spouse IRA

1. Inherited IRA or Inherited ROTH Application

1. Establish an Inherited Traditional IRA or an Inherited ROTH IRA account using this Application ** This document is 46 pages long. The ROTH is pages 23 – 29. The Inherited IRA Adoption is page 41 – 46. You must select IRA or ROTH. Revised 06/2021

2. WIS Client Agreement

2.Include a WIS Client Agreement

3.Death Certificate

3. Include a copy of the original IRA owner’s death certificate

4. Pershing Asset Movement Authorization

Complete and Submit the Asset Movement Form

5. IRA Distribution Form

5. If the Beneficiary wants to disbribute funds to himself he would complete this IRA distribution form

* Not eligible for DocuSign

6. Pershing Charges and Fees

7. Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

8. WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Pershing IRA SEP Accounts

WIS Client Agreement

Accompanies any and all new business established through WIS

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

IRS 5305 SEP form

IRS Simplified Employee Pension Individual Retirement Accounts Contribution Agreement

IRA SEP Adoption Agreement

Required for SEP Self-Directed Individual Retirement Accounts

Pershing IRA ROTH Accounts

WIS Client Agreement

Accompanies any and all new business established through WIS

Pershing IRA Roth RecharacterizationForm

Use this form to request a conversion of assets from Traditional IRAs, SEP IRAs, and SIMPLE IRAs to Roth IRAs, or for a recharacterization of assets between a Roth IRA and a Traditional IRA, SEP IRA, or SIMPLE IRA.

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

IRA Roth Adoption Agreement

Required for ROTH Self-Directed Individual Retirement Accounts. Revised June 2021.

Pershing Joint Accounts (Including Rights of Survivorship and Tenants in Common)

WIS Client Agreement

Accompanies any and all new business established through WIS

Transfer on Death Account Agreement Joint Tenants

Use this form to authorize the designation of a joint account as “Transfer on Death.”

Separate W-9

Request for Taxpayer Identification Number and Certification

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Margin Agreement and Disclosure

Use this form to establish a CreditAdvance account for margin trading (if approved).

Joint Account Agreement

Required to open a Joint Account where the owners have Rights of Survivorship

Community Property Agreement

Required to open a Joint Account where the owners in common each have an individual interest

Pershing Limited Liability Corporation (LLC)

WIS Client Agreement

Accompanies any and all new business established through WIS

Certification Regarding Beneficial Owner and Controlling Person Form

This form must be completed by the person opening a new account on behalf of a legal entity such as Corporation, Limited liability company, General partnership, Limited partnerships, Business trusts, or any other entity created by the filing of a public document with a Secretary of State or similar office, or an entity formed under the laws of a foreign jurisdiction. Used to gather information of who owns, controls and profits from the legal entities.

Note: Legal entity does not include sole proprietorships or unincorporated associations.

Limited Liability Company Agreement

Required for all legal entities. Used to gather information of who owns, controls, and profits from the legal entities.

Pershing Charges and Fees

Pershing New Account Agreement

Used when opening a new account when a Separate W-9 is not used. Revision 5/2021

Separate W-9

Request for Taxpayer Identification Number and Certification

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Pershing Loan Advance

Statement For Purpose for an Extension of Credit by Creditor (T4 Form)

Complete this form to apply for a Loan Advance account. Required

Revised 9/2021

Loan Advance Lending Agreement

The Loan Advance Lending Agreement is used to open a Loan Advance account. Required

Revised 9/2021

Interest Rate Acknowledgement And Control Stock Disclosure

Use this form to establish an account for Loan Advance (if approved). Required

Revised 9/2021

Loan Advance Check-writing App

Loan Advance clients can use this application to access the new check-writing capabilities offered through Loan Advance. Optional

Revised 11/2019

Loan Advance Guaranty of Account Form

Use this form to establish a guarantee relationship between accounts with two different registrations for Loan Advance. A guarantee relationship can only be used for House maintenance only. Optional

Revised 9/2021

Investor Loan Advance Brochure

Information to share with your clients regarding Loan Advance and what it has to offer

Revised 8/21

Pershing Third Party Administrative Plans

WIS Client Agreement

Accompanies any and all new business established through WIS

Separate W-9

Request for Taxpayer Identification Number and Certification

Non-Prototype TPA Tax Reporting Confirmation

TPA to confirm that they are responsible for all applicable tax reporting, withholding, and all other reporting surrounding the retirement account.

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

TPA Tax Reporting Confirmation

Acknowledgment that custodian/trustee or third-party administrator is responsible for tax reporting

Pershing Trust Accounts

WIS Client Agreement

Accompanies any and all new business established through WIS

Trustee Certification of Investment Powers

Required for all trust accounts. Describes Trustee powers related to the brokerage account

Separate W-9

Request for Taxpayer Identification Number and Certification

Pershing Charges and Fees

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used. Revised 05/2021

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Pershing Miscellaneous Forms Most Frequently Used

401 (k)

401 (k) Account Opening Kit

403 (b) (7)

Custodial Account Agreement

Account Agreement

Used when opening a new account when a Separate W-9 is not used.

Account Transfer Form

Use this form to transfer (either partially or in full) assets held at another organization into your control through Pershing, as well as to request the rollover of assets from a qualified retirement plan (QRP) into an individual retirement account or another QRP.

Corestone Account Application

Use this form to open a Corestone account and authorize the issuance of a Visa® debit card(s) and the Bank of New York Mellon to issue checks as indicated on the application.

* Not eligible for DocuSign

Cost Basis Adjustment Due to Death

Form for any Cost Basis Adjustments for Inherited Covered and Noncovered Securities (Date of Death or Step ups)

Investor Network Instructions

Use this letter as authorization to provide to and permit Pershing LLC, acting on behalf of Western International Securities, to share with the Issuer, information regarding your client’s account position(s), activity and other account related information.

IRA Designation of Beneficiary

Use this form to specify a change in the beneficiary for a Traditional individual retirement account (IRA), Roth IRA, simplified employee pension, SIMPLE IRA, or Education Savings Account.

Revised 4/12/2022

Non-Corporate Resolution

This form is used for entities that are Non-Profit Organizations.

Non-Prototype TPA Tax Reporting Confirmation

TPA to confirm that they are responsible for all applicable tax reporting, withholding, and all other reporting surrounding the retirement account.

Option Agreement and Approval Form

Use this form to establish an account for option trading (if approved).

Pershing Charges and Fees

Pershing Education IRA KIT

Coverdell Education Savings Account Adoption Agreement establishes an Education Savings Account for the benefit of the Designated Beneficiary, in accordance with Internal Revenue Code Section 530.

Pershing NETX360 – MF Conversion Request Guide

This is the step‐by‐step process for an advisor to submit a Mutual Fund conversion request form through the NetX360 platform.

Pershing Precious Metals Agreement

Required prior to purchasing precious metals

Private Investment Form

Complete this form to authorize Pershing to issue funds from your account for the specific dollar amount required to purchase an investment offered through a private investment.

* Not eligible for DocuSign

SelectLink Brochure and Application

This brochure describes the features and benefits of SelectLink, a complimentary service that consolidates household statements, includes a summary cover page, and mails the documents in one convenient package.

Sole-Proprietorship

Required to confirm that the client is the sole-proprietor of the entity

W-8BEN-E

Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) Internal Revenue (IRS) form only to be utilized by entities

W-8BEN and W8 Written Statement for Certification of Foreign Tax ID Letter of Explanation

Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals)

W8 Written Statement for Certification of Foreign Tax ID and DOB and Letter of Explanation

Use this form to grant trading to a Third Party Agent (“Agent for your brokerage account (“account”) held through Western International Securities (“Western”).

WIS Limited Trading Authorization

Use this form to grant trading to a Third Party Agent (“Agent for your brokerage account (“account”)) held through WIS.

WIS Investment Management Agreement

Investment Management Agreement –Transaction Base Pricing with Schedules

WIS Online Access Request and Household Account Linking Agreement

Use to request online access and to authorize WIS to link brokerage account(s).

WIS W-8BEN Letter of Explanation (without W-8BEN)

Document is to accompany W-8Ben when a US mailing address is used

Worthless Security Form – Pershing Request for Disposition of Non Transferable Security

Use when the security is worthless and there is NO transfer agent.

Worthless Security Form – Pershing Disposal of Security with Insignificant Value

Use when the security is worthless and but DOES have a transfer agent.

Pershing Cashier

Addendum to the Standing Instructions form

Allows ADVISOR to specify the dollar amount distributed to client at the time of distribution.

*Not eligible for DocuSign

ACH Authorization Agreement

The form enables the transfer funds between a client’s brokerage account and his/her bank or credit union account via the Automated Clearing House (ACH) system.

*Not eligible for DocuSign

Asset Movement Authorization

Use this form to request that assets be moved between retail accounts and certain retirement accounts (individual retirement accounts, simplified employee pensions (SEPs), and salary reduction SEPs). Also to be used for retirement account due to death or divorce.

*Not eligible for DocuSign

Pershing Asset Movement Authorization

For use with Pershing Retirement accounts. Complete and Submit the Asset Movement Form when moving assets due to divorce, Roth conversion of securities and/or monies and to accompany contributions if applicable

Dodd Frank Disclosure

The Reg E Dodd Frank Disclosure is needed for all international wires, in either USD or foreign currency.

*Not eligible for DocuSign

Pershing IRA Contribution Form

IRA Contribution Form

*Not eligible for DocuSign

Pershing IRA/ESA Distribution Form

Use this form to request a distribution from a Traditional individual retirement account (IRA), Roth IRA, simplified employee pension, SIMPLE IRA, and Education Savings Account.

*Not eligible for DocuSign

Pershing Retirement Plan Contribution Form

Qualified Retirement Account Contribution Form

*Not eligible for DocuSign

Pershing QRP Distribution Form

The Employee Retirement Income Security Act of 1974 (ERISA) requires that the client receive the information contained in this form prior to the annuity start date or distribution date. The Distribution Request Form must be completed by the client, or by the client and their employer, if applicable.

*Not eligible for DocuSign

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used.

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.

Pershing Individual Plan

WIS Client Agreement

Accompanies any and all new business established through WIS.

Individual K – Plan Information

There are three basic steps to the overall plan establishment process. The instructions within will help walk you through the steps necessary to establish an Individual(k) plan.

Pershing Individual K – Adoption Agreement – Form A

Use this form, the Individual(k) Adoption Agreement, to execute the Individual(k) plan document.

Pershing Individual K – Designation of Beneficiary Form B

Complete this form for your records only. Submit a copy to Pershing. Do not submit a copy to Ascensus.

Pershing Individual K – Recordkeeping Service Agreement (if Option 1) Form C

Complete this form only if the client chooses selecting Ascensus as Third Party Recordkeeper.

Pershing Individual K – Ascensus Recordkeeping Service Application (if Option 1) Form C1

This form is used to supply pertinent information that will be needed during the installation process if your client chooses to have Ascensus act as the recordkeeper of the plan.

Pershing Individual K – Employee Data Worksheet – Form D

This form is used to establish Individual(k) brokerage accounts for all eligible participants. You do not need to complete this form if your client is the only participant in the plan.

Pershing Individual K – Retirement Plan Contribution – Form E

Complete this form to make a contribution to the plan. Checks should be made payable to Pershing LLC FBO (Employer/Plan Name).

Pershing Individual K – Pershing Retirement Product Fee Schedule – Form F

Fee Schedule. NOTE: Pershing fees are paid separately from those charged by a Third Party Administrator (TPA).

Pershing Individual K – Document Compliance Services Contact Information – (if Option 2) – Form G

This form is used to supply Ascensus with plan sponsor and your (the financial advisor) contact information when using the Ascensus Document Compliance Services. The name of the plan on Form G should match the name of the plan from Form A. The Contact Information Form should be completed to ensure Ascensus can properly communicate IRS required deadlines to you and your client.

Pershing Basic Plan Document

Describes and defines the plan information

Pershing New Account Agreement

Used in lieu of the Western agreement when opening a new account when a Separate W-9 is not used.

WIS Disclosure Declaration

Acts as a supplement to the Pershing New Account Agreement. Use in lieu of the Western Client Agreement – only if using documents from the Pershing Client Onboarding opening system.