Account Information * = Required Fields
Trusted Contact Information
Please add a Trusted Contact, we require this information. Under FINRA Rule 4512 Clearing Firm or Broker-Dealer is required to disclose to you (the customer) that Clearing Firm or Broker-Dealer or an associated person of Clearing Firm or Broker-Dealer is authorized to contact the trusted contact person and disclose information about the customer’s account to address possible financial exploitation, to confirm the specifics of the customer’s current contact information, health status, or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by FINRA Rule 2165.
Please provide a bank reference
Bank Name *
Account Holder Affiliations
Investment Profile
Suitability Information
Online Investing Background
Tell Us About Your Job
Please Certify Your Social Security or Tax ID Number
Under penalty of perjury I certify that: (1) The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me) and (2) I am not subject to backup withholding because (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding (does not apply to real estate transactions, mortgage interest paid, the acquisition or abandonment of secured property, contributions to an individual retirement account (IRA), and payments other than interest and dividends). (3) I am a U.S. person (including a U.S. resident alien).Certification Instructions -- You must cross out item (2) above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. (4) The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Definition of a U.S. person. For federal tax return purposes, you are considered a U.S. person if you are: An individual who is a U.S. citizen or U.S. resident alien, A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States, An estate (other than a foreign estate), or A domestic trust (as defined in Regulations section 301.7701-7). The Internal Revenue Service does not require your consent to any provisions of this document other than the certifications required to avoid backup withholding. Current Tax Status: Low Medium High Tax Bracket : %
Need Help? Call Us - 1-800-847-8495
Letter of Authorization
Dear AutoShares:
This letter of authorization and the account application in general serves as authorization to charge my account fees, including commissions, routing, execution, venue, software, and/or data fees. I understand that the fees will be charged to my online brokerage account accordingly.
Note: I understand I will be billed for the aforementioned fees until I close my account, and may contact AutoShares at 1-800-847-8495 with any questions.
Autotrade Newsletter Alerts
Select if Autotrading Newsletter Publisher Trade Alerts. Customers are provided with a Web Based Online Brokerage Account.
Autotrade - Trade Leader Services
Select if using Trade Leader Autotrade Services. Customers are provided with a Web Based Online Brokerage Account.
Automated Trading - Collective2
Select if Connecting Collective2 to AutoShares. Customers are provided with a Web Based Online Brokerage Account.
Automatic Investing Services
Select if scheduling automatic investments. Customers are provided with a Web Based Online Brokerage Account.
Online Trading Account - No Autotrade Service
Select if No Autotrade Service is Required. Customers are provided a Web Based Online Brokerage Account for investing in Stocks, Options, and ETFs.
Developer Account
Select if you are a developer requiring a developer account. Customers are provided with API Access and a Web Based Online Brokerage Account.
WebTrader Account with Autotrade Execution
Investor account includes:
Basic Quote Services
Research Tools Options Chains Streaming News Order Management
Streaming account
API/Developer Access
Select if connecting a third party platform to AutoShares.
Pricing Plan:
Self-Directed Online Investing Accounts + AutoTrade Platform($5000 Minimum Account Size)
Base Charges:
Stocks and Options - $4.95 per order (minimum)
Options add + $.75 cents per contract
**Regulatory, Exchange, Routing, and Venue Fees are debited per each transaction in your account. *Rate changes must be approved by AutoShares. Rates do not automatically adjust and are not retroactive. No rebates are given for past trade activity.
Developer Access (for developers only)
Service Instructions
* In conjunction with "Hold Dividends," by selecting "Sweep" your credit balances will automatically be money market swept. Other alternatives for dividend distribution or requests for physical certificate delivery may available. Contact your investment representative.
Enhanced Account Features
E-Documents EnrollmentWhen you enroll your account in E-Docs, you will receive trade confirmations, account statements, tax-related documents, proxies, prospectuses, annual reports, and all other eligible account documents electronically. An e-mail notification will be sent to the Account Owner's e-mail address on the same day electronic documents become available. Just log into your account to access E-Docs and view, print or download your electronic documents. Yes No
Rule 14b-1(c) of the Securities Exchange Act, unless you object, requires us to disclose to an issuer, upon its request, the names, addresses, and securities positions of our customers who are beneficial owners of the issuer's securities held by us in nominee name. The issuer would be permitted to use your name and other related information for corporation communication only. Yes, I do object to the disclosure of such information. No, I do not object to the disclosure of such information. Please see your Investment representative for enrollment information.
Upload Drivers License - Front and Back
We Require a Valid ID Matching the Applicants Address to Issue an Account Number.
You will have 30 days from the date of your Application to Submit the Required Documents. You can use a smart phone to make clear copies of your id and upload these documents.
Upload FRONT & BACK OF YOUR DRIVERS LICENSE using the BROWSE/UPLOAD buttons.
To Submit Your ID's Later, Click Next Step to Complete Your New Account Application.
I Have Read and Agree with the Following: Customer Agreement including Pre-Dispute Arbitration ClauseWeb Site Access and Online Delivery ConsentAnti Money-Laundering PoliciesLetter of AuthorizationAutoTrade Program Authorization
Risk Disclosures: Privacy Statement , Margin Disclosure Document , Day Trading Risk, Extended Hours Trading, Order Flow Payments, Penny Stocks, Traders Responsibilities, Risks of Options, AutoShares Business Continuity Plan I Have Read, Understand, and Agree With All Of The Account Documents Covered by this Signature Page
Draw Signature with Mouse or Finger. Press CONFIRM SIGNATURE after you draw your signature to confirm your signature. To sign later, you may skip this section and sign manually.
Customer's signature X
Joint owner signature X