Document Category Acceptable Documents (only one document per category is needed)
Proof of your firm's existence
The document must clearly state the name of your firm.
  • Articles of Incorporation
  • Company Charter
  • Partnership Agreement
  • Government-issued Business License
  • Government-issued Certificate of Good Standing from the Jurisdiction of Incorporation
Proof of your firm's address
The document must clearly list the customer name and the address being verified.
  • Current Business Lease;
  • Articles of Incorporation, Company Charter, Partnership Agreement, Government-Issued Business License, or Government-Issued Certificate of Good Standing
    • But if you used one of the above as proof of the entity’s existence, then we are required to obtain a second, different document for proof of address (i.e., the same document cannot be used for both purposes);
  • Other Government-Issued Letters or Statements Establishing the Entity’s Current Address (less than 12 months old); e.g., Tax Letters/Notices, etc.
  • Bank Statement or Signed Letter from Bank on Bank Letterhead Confirming Address
    • Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org)
    • Statement must be less than 12 months old;
  • Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer
    • Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org)
    • Statement must be less than 12 months old;
  • Business Insurance Policy Documents or Riders or Insurance Bill
    • Policy must be currently in effect and show address being verified;
  • Deed or Other Evidence of Property;
  • Utility Bill for Property (less than 12 months old).
Proof of the IDENTITY of each individual or entity that has an ownership of 10% or more in the Advisor organization
  • If the owner is an individual, a copy of the person's passport, driver's license, national identity card or alien identification card;
  • If the owner is an entity, the entity's articles of incorporation company charter, partnership agreement, governmentt-issued business license or govt-issued certificate of good standing.
Proof of the ADDRESS of each individual or entity that has an ownership interest of 10% or more in the Advisor organization
  • Mortgage Statement, Deed or Other Evidence of Property;
  • Current Lease;
  • Utility Bill (less than 12 months old);
  • Current Driver’s License
    • But if you used driver’s license as proof of identity, then we are required to obtain a second, different document for proof of address (i.e., driver’s license cannot be used again);
  • Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank on Bank Letterhead Confirming Address
    • Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
    • Statement must be less than 12 months old;
  • Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer
    • Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
    • Statement must be less than 12 months old;
  • Current Homeowner’s or Renter’s Policy Documents or Riders
    • Policy must be currently in effect;
  • Bill for Homeowner’s or Renter’s Insurance Policy (less than 12 months old);
  • Security System Bill/Statement (less than 12 months old); or
  • Government-Issued Letters or Statements Establishing Current Address (less than 12 months old). For example:
    • Tax Letters and notices;
    • Letters or notices from government housing authorities;
    • Jury duty notices;
    • Voter registration notices;
    • Other official government letters or notices showing customer name and address being verified.
Proof of the identity of the Advisor's Authorized Trader
The document must include the person's name, date of birth and signature.
  • A copy of the person's passport, driver's license, national identity card or alien identification card
Proof of the residential address of the Advisor's Authorized Trader
  • Mortgage Statement, Deed or Other Evidence of Property;
  • Current Lease;
  • Utility Bill (less than 12 months old);
  • Current Driver’s License
    • But if you used driver’s license as proof of identity, then we are required to obtain a second, different document for proof of address (i.e., driver’s license cannot be used again);
  • Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank on Bank Letterhead Confirming Address
    • Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
    • Statement must be less than 12 months old;
  • Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer
    • Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
    • Statement must be less than 12 months old;
  • Current Homeowner’s or Renter’s Policy Documents or Riders
    • Policy must be currently in effect;
  • Bill for Homeowner’s or Renter’s Insurance Policy (less than 12 months old);
  • Security System Bill/Statement (less than 12 months old); or
  • Government-Issued Letters or Statements Establishing Current Address (less than 12 months old). For example:
    • Tax Letters and notices;
    • Letters or notices from government housing authorities;
    • Jury duty notices;
    • Voter registration notices;
    • Other official government letters or notices showing customer name and address being verified.
Proof of the Authorized Trader's authority to trade
  • Documentary evidence of the Authorized Trader's authority to trade on behalf of the organization.
Other Financial Institution Account Statement
The document must clearly state the name of the firm and be less than 12 months old.

This requirement applies only to organizations and trusts that have been formed in or are located in countries that are not full members of the Financial Action Task Force (FATF).

Note: If you submitted a bank or brokerage statement as proof of address, that will satisfy this requirement also (same statement can be used for both).
  • Bank Statement
  • Broker Statement
  • Mortgage Statement
  • Loan Statement
Description of nature of business
The documents must clearly state the nature and purpose of the firm’s business.
  • Articles of Incorporation;
  • Government-Issued Business License;
  • Corporate Charter;
  • Bylaws;
  • Corporate Resolution.
Please circle the section the business description is referenced.