New Account Forms

 
 PERSHING BROKERAGE (References)    DIRECT BUSINESS (References)
 • New Account Document Checklist    • New Account Document Checklist 
 • Private Investment Checklist    • Transaction Checklist
   
     
 OPENING A PERSHING BROKERAGE ACCOUNT    OPENING A DIRECT BUSINESS ACCOUNT
 Step 1 - New Account     Step 1 - New Account
 • Option 1 - Brokerage Commission-Based    • Customer Account Profile Form, and…
   Pershing New Account Form, and…    
     Step 2 - Additional Documents
 • Option 2 - HK4 (Rep Managed) Advisory    - If Trust Account - fax title page, powers page and signature page
   Pershing New Account Form, and…    - If Business Account - fax corporate resolution, articles, etc
   MAS Investment Advisory Client Services Agreement    
   MAS ADV Acknowledgement Form    
    DIRECT BUSINESS TRANSACTIONS
 • Option 3 - HK5 (Lockwood Managed) Advisory    Change of Broker-Dealer / Representative
   Pershing New Account Form, and…    - Open a Direct Business Account
   MAS ADV Acknowledgement Form    • Change of Broker-Dealer / RIA / REP Authorization NEW!
   Lockwood forms *  

 - Copy of Existing Account Statement (no more than 90 days old)
       * Email operations@mas-bd.com to request a Lockwood login ID    - How to submit a Change of Broker-Dealer Request
     Alternative Investments 
 Step 2 - Supplements    • MAS Alternative Investment Transaction Form
 • TOD Individual Agreement or TOD Joint Agreement    - Investment Sponsor's Subscription Agreement & Supplemental Documents
 • Joint - JTWROS, TBE, TIC or Community Property    - Funding Source (copy of check, copy of transfer form or check request)
 • Trust * - Trustee Certification of Investment Powers    • Alternative Investment Account Score Worksheet (For Rep Use Only!) 
     * Trust Document: Title page, powers page and signature page.    
 • Investment Club - Investment Club Agreement    Variable Annuities / Variable Life
     • MAS Variable Annuity or Variable Life Transaction Form
 • Traditional IRA - Rollover IRA - Inherited IRA (Adoption Agreement)  NEW!    - Insurance Company's New Account & Supplemental Documents
 • Roth IRA - Inherited Roth IRA (Adop Agreement)  NEW!    - Funding Source (copy of check, copy of transfer form or check request)
 • SEP IRA (Adoption Agreement & Form 5305-SEP)  NEW!  

 - Client Brochures VL Brochure & VA Brochure
 • SIMPLE IRA - Form 5304 (Adoption Agreement & Form 5304-SIMPLE)  NEW!    Mutual Funds
 • Educational Savings Account - Coverdell (Adoption Agreement)  NEW!    • MAS Mutual Fund Transaction Form
     • MAS Mutual Fund Breakpoint Form (If 50k or more of Class A  investment)
 • Sole Proprietorship - Corporation (Corporate Resolution)    - Mutual Fund Company's New Account & Supplemental Documents
 • Partnership (Partnership Agreement)    - Funding Source (copy of check, copy of transfer form or check request)
     
PERSHING BROKERAGE TRANSACTIONS    Advisory: Fee-Based, Wrap Fee, Managed Accounts
 Private Investments (Qualified Accounts Only)    • MAS ADV Acknowledgement Form

 • Pershing Private Investment Form (See Reference for how to process)

    - Third Party Advisor's New Account & Supplemental Documents

 • MAS Alternative Investment Transaction Form

    - Funding Source (copy of check, copy of transfer form or check request)
 - Investment Sponsor's Subscription Agreement & Supplemental Documents    
 • Alternative Investment Account Score Worksheet (For Rep Use Only!)    529 Plan Accounts
     • MAS Mutual Fund Transaction Form
     • MAS 529 Plan Transaction Form
     • MAS Mutual Fund Breakpoint Form (If 50k or more of Class A  investment)
     - Mutual Fund Company's New Account & Supplemental Documents
     - Funding Source (copy of check, copy of transfer form or check request)
 
PERSHING MONEY MOVEMENT   DIRECT BUSINESS MONEY MOVEMENT
 Distributions/Deposits To and From the Client's Bank Account    Funding a Direct Investment from a Pershing Brokerage Account
 Non-Qualified Accounts    Non-Qualified Accounts
 • ACH Authorization Agreement    • One-Time Withdrawal Form - Check Request
    (Link your brokerage account to your bank account and establish      (Make sure that the direct investment has been approved by MAS prior
     periodic instructions or ad-hoc withdrawals) **       to requesting a distribution/transfer)
 • One-Time Withdrawal Form - Check Request    
     Qualified Accounts
 Qualified Accounts    - Client's Retirement Account Custodian will need to submit outgoing
 • ACH Authorization Agreement       transfer paperwork to MAS
    (Link your brokerage account to your bank account - this form will only      (Make sure that the direct investment has been approved by MAS prior
    establish the bank information on your brokerage account. You will need        to requesting a distribution/transfer)
    to submit the IRA Distribution Request form for any money movement)    
 • IRA Distribution Request Form    
    (Establish periodic instructions, one time distributions or check requests)    
     
 Account Transfers    
 • Account Transfer Form    
    (Click here for instructions on how to fill-out account transfer forms)    
 - Client's Account Statement (no more than 90 days old)    
     
 ** Ad-hoc deposits from bank to brokerage are not available.    
 
MAS requires that a separate new account form is maintained for each account type that a client holds.  For example, an individual who intends to hold an IRA and a Roth IRA would need to sign both a Traditional IRA and Roth IRA new account form.
All references to "brokerage" mean Pershing LLC, our clearing firm.
All references to "direct" mean securities held directly with an investment sponsor such as a mutual fund company, insurance carrier, alternative investment company, etc. 

 

Find a Form

Brokerage Account Features
 NetXClient - End Client Brochure (Brokerage)
 ACH Authorization Agreement (Brokerage) - Click here for instructions on how to fill-out the ACH form
 Combined Mail Application - SelectLink (Brokerage)
 Margin Agreement (Brokerage)
 Option Agreement (Brokerage)
 
* Important information regarding Corestone Checking Conversion.  Click HERE to stay up-to-date on fee and tier changes.
 
Account Maintenance
 Affidavit of Domicile (Brokerage)
 PO Box Authorization (Brokerage)
 QRP Beneficiary Designation (Brokerage - custodial QRPs only)
 
Authorizations
 Corporate Resolution (Brokerage) NEW!
 TTEE Certification (Brokerage)
 
Brokerage Fee / Tax Withholding Schedules
 QRP Tax Withholding (Brokerage)
  
Deposit Slips (to Pershing)
 
Investment Advisory Business
 MAS Brochure (Replaces former ADV Part II)
 
Money Movement
 Account Transfer (ACAT) Form (Brokerage) - Click Here for instructions on how to fill-out an Account Transfer form
 IRA Contribution Form (Brokerage)
 IRA Distribution Request (Brokerage) - Click here for instructions on how to fill-out an IRA Distribution Request form
     - Click here for instructions on how to fill-out the Private Investment form
 
Special Requests
 
Transaction Forms
 New Account Form Supplement A (use this form to update your client's investment objectives or risk tolerance level for an account)
 

 

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