WEDBUSH 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 accounts that are not listed, please verify with our Operations department to determine which forms are required.

We have also listed various miscellaneous forms for your convenience, but for those not listed, please search Wedbush by clicking on the following link: https://insight.wedbush.com.  Once you sign in, follow the path:  Click Extranet on the left tool bar > Information Technology > Correspondent Services > Forms > Then select your forms.

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

Accompanies any and all new business established through WIS

Required to open and maintain a margin account

Wedbush Account Agreement, W9, Discloser and Arbitration Agreement. Original required on all new accounts

Disclosure statement and facts about borrowing, costs, and other matters. Must be given to every client that signs a Letter A and Margin Agreement

Accompanies any and all new business established through WIS

Designates the contribution described as a rollover contribution

Request for transfer, rollover, or purchase of a private placement or other by subscription only investment

Required for Traditional Self-Directed Individual Retirement Accounts

Accompanies any and all new business established through WIS

Request for transfer, rollover, or purchase of a private placement or other by subscription only investment

Required for ROTH Self-Directed Individual Retirement Accounts

Accompanies any and all new business established through WIS

Request for transfer, rollover, or purchase of a private placement or other by subscription only investment

Required for SEP Self-Directed Individual Retirement Accounts

IRS Simplified Employee Pension Individual Retirement Accounts Contribution Agreement

Accompanies any and all new business established through WIS

Required to open and maintain a margin account

Wedbush Account Agreement, W9, Discloser and Arbitration Agreement. Original required on all new accounts

Required to open a Joint Account

Disclosure statement and facts about borrowing, costs, and other matters. Must be given to every client that signs a Letter A and Margin Agreement

Accompanies any and all new business established through WIS

Page 1 Required for all trust accounts. Describes trustee powers related to the brokerage account

Page 2 Required for all trust accounts. Describes trustee powers related to the brokerage account

Supporting documentation required for Trust Accounts

Required to open and maintain a margin account

Wedbush Account Agreement, W9, Discloser and Arbitration Agreement. Original required on all new accounts

Disclosure statement and facts about borrowing, costs, and other matters. Must be given to every client that signs a Letter A and Margin Agreement

New Account Matrix – Use to determine the correct account title and all required forms needed for each account type.

Form IB-C IRA Designation of Beneficiary

Application for Creditplus Account

* Not eligible for DocuSign

Use this request to “Household” securities accounts.

Agreement Form for Wedbush Morgan Accounts

Form required when funds are rollover from another retirement account to a Wedbush retirement account

Transfer on death registration form

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

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

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

Initiate transfer of an account from a bank, mutual fund, or brokerage firm to Wedbush

To eliminate commercially worthless securities from client account(s)

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

Automated Clearing House (ACH) Authorization

*Not eligible for DocuSign

To be used for Distribution from a Coverdell IRA.

*Not eligible for DocuSign

Used to request distributions from Traditional, ROTH, SEP and SIMPLE IRA accounts.

*Not eligible for DocuSign

This verification document is required for any payout above $99,999.00

*Not eligible for DocuSign

Notification to transfer cash and/or securities for 3rd party only

*Not eligible for DocuSign

This verification document is required for any payout above $99,999.00

*Not eligible for DocuSign

Form QCD-C Charitable Distribution Form

*Not eligible for DocuSign

To be used when requesting a distribution from a QRP where Wedbush is custodian

*Not eligible for DocuSign

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TruChoice Financial Group
(The Annuity Store)

INSURANCE Quick Links

Highland Capital Brokerage

 

INSURANCE Quick Links

Producer's Choice Network

 

INSURANCE Quick Links

TruChoice Financial Group
(The Annuity Store)

 

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