• Individual New Account Application


• Joint New Account Application


• Custodial New Account Application (for a minor)

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• Custodial Account Conversion
  Convert a custodial account (UGMA/UTMA for a minor) to Individual to an individual account after age 18 or 21.


• Estate Account
  To be opened by the executor for the now deceased individual account holder.


• Joint to Individual Conversion
  Account conversion procedure to be followed by the surviving tenant.


• Transfer on Death (TOD) Distribution Procedure by Beneficiary(s)
  (Steps to be taken in order to transfer assets from deceased's TOD account to a beneficiary's individual account).


• Trust Account Modification, Dissolution, Etc.

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• Education Savings Account (ESA)
  Open for a minor (under 18), in order to save for a secondary education.


• Inherited IRA
  Choose this account type if the beneficiary or executor of a deceased's IRA/estate.


• Inherited ROTH IRA
  Choose this account type if the beneficiary or executor of a deceased's ROTH IRA/estate.


• ROTH IRA


• Traditional or Rollover IRA

• Asset Movement Authorization (between accounts)
  Transfer funds between your accounts at York Securities. Indicate contribution tax year on the form if it is an IRA.


• Distribution
  Withdraw money from either Traditional, Roth, or Simple IRA.


• IRA Beneficiary Designation
  Update your IRA beneficiary information.


• Coverdell Education Savings Account Distribution Form
  Withdraw money for education purposes.


• Adoption Agreements (to be submitted, if necessary, by existing account holders):
  
  

        • Traditional or Rollover IRA Adoption Agreement
  
        • ROTH IRA Adoption Agreement
  
        • SEP IRA Adoption Agreement
  
        • Inherited IRA Adoption Agreement
  
        • Inherited Roth IRA Adoption Agreement
  
        • Coverdell Education Savings Adoption Agreement
  
        • SIMPLE IRA Adoption Agreement

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• Account Application Supplemental Form
  Use this form to provide missing or additional, personal or financial information, for an account holder or interested party.


• Account Update Form
  Complete if any your personal or financial information has changed in the last 3 years.


• Address Change Form
  Update the postal address on your account.


• Affidavit of Domicile
  Used by the executor of an estate.


• Axos Clearing Customer Agreement (For Reference Only).


• Removal of Non-Marketable Securities
  Dispose of stock which does not have a bid price.


• Dividend Reinvestment Plan (DRIP)
  Simply email info@yorksec.com or call customer service instructing reinvestment of dividends on an individual security, or the entire account.


• Trading Authorization Form
  Use to grant trading authorization to a third party (limited to purchases and sales of securities and options).


• Trusted Contact Person (TCP)
  The TCP is an alternate contact/resource to be designated primarily by senior customers age 65+ (or in limited circumstances, a specified adult age 18+ deemed unable to protect his/her own interests).
  When the firm cannot reach the account owner after multiple attempts, or when it is believed there is diminished mental/physical capacity or a financial exploitation is occurring, the TCP may be contacted, who may then retrieve or relay personal important information on behalf of the customer.


• Stock Power Form
  Use as an alternative to signing the rear of an actual stock certificate for deposit to your account.


• Stock Certificate Deposit Attestation
  Use in conjunction with depositing a stock certificate to your account.


• W-9 Taxpayer Identification Number
  Use to add or change a social security or tax id number of an existing account.


• W-8BEN Certificate of Foreign Status
  Sumbit every 3 years for US Tax Withholding, along with a copy/image of your government id or passport (only if you do NOT have a USA social security number).
  
  
  
  • Read the W-8BEN INSTRUCTIONS (for reference only)



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