Conservatorship Account Opening Instructions Form
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1Conservatorship or Guardianship Account Opening Instructions
Conditions to Open a Conservatorship or Guardianship Account
•
When filling out the Brokerage Account Application, please indicate Conservatorship or Guardianship (whichever is applicable) in the
Account Type field.
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For a Guardianship account, all guardians must be included on the Application unless granted abilities to act independently by the court
appointment letter.
Required Forms and Agreements
– Please print legibly; do not use correction fluid or cross out information.
1.
Brokerage Account Application
Application Section
Special Considerations
Do you have any other account(s) with
Accounts refer to brokerage accounts, accounts over which you have power of
Scottrade or its affiliates (Scottrade
attorney (POA), trading authority or account linking; bank accounts, loans or
Bank)? (page 1)
equipment leases.
Primary Applicant
Minor or Protected Person’s information. All fields are required.
In addition to completing all name, SSN / tax ID, address and phone number fields, please take special note of:
Citizenship
Complete all fields, where applicable.
Employment
Complete all fields, where applicable. Include a description of your roles, duties and
responsibilities in the Job Description field. Use the Employer Industry and
Occupation Codes information sheet to obtain codes for the Employer Industry and
Occupation Code fields. Employer industry represents the overall business
classification that describes your company.
Income and Net Worth
Please provide this information to help us understand your financial status. Net
worth is defined as the sum of all your assets less your liabilities.
Affiliations
Answer all questions and complete fields, where applicable.
Co-Applicant (page 2)
Conservator or Guardian’s information. For multiple guardians, make an additional
copy of page 2 to complete for each guardian; all pages must be submitted together
with page 1 of the Application.
In addition to completing all name, SSN / tax ID, address and phone number fields, please take special note of:
Expected Account Activities (page 1)
Complete this section to help us understand how you anticipate using your
Scottrade account. This information helps us fulfill certain regulatory requirements.
Your Investment Profile
Complete this section to help us understand your investment and trading
experience. W e will not use this information to supervise your suitability of any
transaction in your account.
Citizenship
Complete all fields, where applicable.
Employment
Complete all fields, where applicable. Include a description of your roles, duties and
responsibilities in the Job Description field. Use the Employer Industry and
Occupation Codes information sheet on page 3 to obtain codes for the Employer
Industry and Occupation Code fields. Employer industry represents the overall
business classification that describes your employer.
Income and Net Worth
Please provide this information to help us understand your financial status. Net
worth is defined as the sum of all your assets less your liabilities.
Affiliations
Answer all questions and complete fields, where applicable.
Signatures
Conservator or Guardian signs as Co-Applicant.
2.
Brokerage Account Agreement
Before signing the Application, read the Agreement and retain a copy for your records. You do not need to return this document.
3.
Privacy Statement
Please read this document and retain a copy for your records. You do not need to return this document.
4.
Additional Documentation
A copy of court appointment of conservatorship/guardianship is required; must be dated within the last 12 months and list all applicants.
If the court appointment letter states that it’s only valid with a seal, the seal must be visible.
o
Available Account Features
– Restrictions may apply; contact your
local Scottrade team
to confirm eligibility.
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Account Linking
Margin
Online Money Direct
Deposits (ACH)
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Options Trading
– Covered Call Writing Only
Scottrade Bank
Account
Sweep Program
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TOD Beneficiary Plan
Trading Authorization
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Parent category: Business