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The examples outlined below reflect the new document requirements pertaining to the submission of New Account Forms / Client Account Profile Forms.
Note: Please keep in mind that a New Account Form or Client Account Profile Form is required for each client account registration.
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Transacting Direct Business on an Individual Non-Qualified Account |
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Client will need to complete a New Account Profile |
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Client decides to open a Pershing Individual Non-Qualified account as well |
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Client will need to complete a Pershing New Account Form |
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New Client |
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Opening a Pershing Brokerage Individual Non-Qualified Account |
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Client will need to complete a Pershing New Account Form |
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Client decides to transact direct business on an Individual Non-Qualified account as well |
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No need to complete a Client Account Profile. We will use Pershing's New Account Form |
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New Client |
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Click HERE for information regarding the MAS New Account Form revisions and upcoming release!