Forms Center

Please choose the type of Scottrade® account your client has or wishes to establish below. Each type of account has a unique set of forms to help advisors open or amend the account.

    •  Account Opening Instructions - Trust

      Printable instructions on the conditions, forms and additional documents required to open a trust account.

    •  Scottrade Advisor Services Non-IRA Application

      Complete this application to open a Scottrade® non-IRA account. Please note that some account types require additional paperwork.

    •  Brokerage Account Agreement

      Read this Agreement before signing the Application and retain a copy for your records. You do not need to return this document.

    •  Privacy Statement

      Please read this document and retain a copy for your records. You do not need to return this document.

    •  Trust Account Certification

      This form is required when opening a Trust Brokerage Account to certify its legitimacy, indicate Grantors, Trustees (and applicable Permissions) as well as Successor Trustees. If space is required to detail additional Grantors, Trustees or Successor Trustees, please utilize a second Trust Account Certification page and have all Trustees sign all pages.

    •  Account Opening Instructions - Qualified Plan

      Printable instructions on the conditions, forms and additional documents required to open a Qualified Plan account.

    •  Scottrade Advisor Services Non-IRA Application

      Complete this application to open a Scottrade® non-IRA account. Please note that some account types require additional paperwork.

    •  Brokerage Account Agreement

      Read this Agreement before signing the Application and retain a copy for your records. You do not need to return this document.

    •  Privacy Statement

      Please read this document and retain a copy for your records. You do not need to return this document.

    •  Qualified Plan Certification

      This form is required when opening a pension plan or profit sharing plan to certify its legitimacy.  Either the Advisor attestation section must be completed or a copy of the IRS Tax Determination letter is required to accompany this form.

    •  Account Linking Request

      Allows a primary authorized account holder access and trading capabilities in secondary accounts. Only non-professional accounts may be linked, which include individual, joint, IRA, and certain trusts and custodial accounts.

    •  Account Transfer Form

      Transfer assets from an account at another firm into your Scottrade® Account. Complete this form and include the most recent statement. Additional documents may be required upon request.

    •  Account Transfer Reference Guide

      This guide provides detail to assist the advisor and client when completing the Account Transfer Form, and also provides examples when additional documentation may be required

    •  ACH Distribution Request

      This form should be used by the account owner(s) to request that a recurring distribution be sent to his/her checking/savings account using the ACH (Automated Clearing House) system.

    •  ACH Out Reference Guide

      This guide illustrates the various types of outing ACH transaction scenarios current supported by Scottrade Advisor Services.

    •  Advisor Proxy Authorization Form

      Account holders may use this Letter of Authorization to enable their advisor to receive, view and vote proxies.

    •  Alternate Payee/ Address Authorization

      This form serves as a letter of Authorization to issue checks to an alternate payee or address from the Client's Scottrade account.

    •  Authorization to Accept Distribution from Trust/Estate Account

      This form should be used by the account owner(s) to transfer assets from a trust or estate account to a Scottrade® account.

    •  Authorized Agent Designation Form

      This form should be used to add individuals (authorized traders, individuals with information access only, and other affiliates) to your master account. Please contact your advisor service team is the individual is a member/officer of the firm. Additional paperwork may be required.

    •  Removal or Legal Name Change of Authorized Agent

      This form should be used to remove access from the master account. This form can also be used to verify a legal name change of an Authorized Agent. Please contact your advisor service team if the individual is a member/officer of the firm as additional paperwork may be required.

    •  Authorization for Compromised Accounts

      If information relating to your or your client’s Scottrade® account(s) has been compromised, immediately notify your service team. This form needs to be submitted to finalize the compromised account process and transfer your client’s account information and assets to a new account number.

    •  Authorization to Transfer Cash/Securities (internal transfer)

      Transfer cash and/or securities to another Scottrade brokerage account using this form.

    •  Authorization to Transfer Cash/Securities (external transfer)

      Transfer cash and/or securities to an account outside Scottrade® using this form.

    •  Authorization to Wire Brokerage Funds

      Wire funds out of a Scottrade account to a Bank or other financial institution. A $25 fee applies to domestic wire transfers and a $40 fee applies to international wire transfers.

    •  Brokerage Account Agreement

      Read this Agreement before signing the Application and retain a copy for your records. You do not need to return this document.

    •  Calculation for Required Minimum Distribution

      This form is used to calculate a Required Minimum Distribution (RMD) for tax purposes. A distribution request will need to be submitted in order to take the RMD.

    •  Certification of Legal Name

      Use this form to certify that the client’s full legal name and preferred name are in fact the same person.

    •  Contact Information Update

      This form is used so a client can change address, email or phone number for one or more or Scottrade® accounts.

    •  Charitable Gift LOA

      The Charitable Gift LOA authorizes the transfer of stock from your account to a charitable organization.

    •  Check Writing Application

      Use this form to establish check writing for the following account types: Corporate, LLC, Custodial, Partnerships (excluding Investment Clubs) and all other trusts.

    •  Visa Check Card/Check Writing Application

      Use this form to establish check writing for the following account types: individual, joint and Same-Name Self-Administered trusts.

    •  Corporate Account Certification

      The officer signing this certificate and the officer signing the application must be two different people.

    •  Coverdell ESA Designation of Beneficiary

      Update beneficiary information for a Coverdell ESA.

    •  Coverdell ESA Distribution Request

      This form should be used to request distributions from a Coverdell ESA.

    •  Designation of Successor Custodian

      Complete this form to designate a successor custodian. The designation does not take effect until the original custodian is removed, resigns in writing, or becomes incapacitated or deceased. This is not a designation of a substitute custodian.

    •  Disable Account Linking

      Request for two or more Scottrade® accounts to no longer be linked to each other.

    •  Direct Conversion Request

      Move assets from a Traditional IRA to a Roth IRA. Both IRAs must be established for the conversion to take place.

    •  Direct Registration System Request – Incoming

      Transfer assets from an account at another firm into your Scottrade Account. Complete this form and include the most recent statement. Additional documents may be required upon request.

    •  Direct Registration System Request – Outgoing

      Complete this form if shares are to be registered to a name other than the account holder.

    •  Inherited IRA Designation of Beneficiary

      Update beneficiary information for an Inherited IRA's

    •  Inherited IRA Distribution Form

      This form should be used by the beneficial owner of an inherited IRA to request distributions from the account.

    •  Investment Advisor Account Access and Fee Authorization

      This form is used to grant an advisor full or view-only access and authorizes Scottrade® to debit accounts for advisory fees.

    •  Investment Advisor Disbursement Authorization

      Allows your Independent Investment Advisor with View Only Account Access to request checks to be sent to the registered name and address for the account(s).

    •  IRA Beneficiary Update

      Update beneficiary information for an existing IRA. Do not submit this form for new accounts; instead complete the appropriate IRA application and beneficiary form.

    •  IRA Distribution Request

      This form should be used by the beneficial owner of a Traditional, Rollover, SEP, Roth, or SIMPLE IRA to request distributions from the account.

    •  IRA Recharacterization (PDF)

      Move previously-converted funds from a Roth IRA back to a Traditional IRA or move current-year contributions from a Traditional IRA to a Roth IRA.

    •  IRA Rollover Authorization

      This form is only required for Indirect Rollover IRA deposits.

    •  Letter of Authorization to Transfer a Contribution

      Contribute to an IRA or ESA account by making a transfer from another Scottrade® account.

    •  Margin Application

      Add margin trading to an existing account. Trading on margin is the practice of buying securities with money borrowed from the brokerage firm.

    •  Mutual Fund Systematic Trade Authorization

      Establish periodic purchases or redemptions for mutual funds; a separate form is required for each purchase or redemption.

    •  Mutual Fund Systematic Trade Cancellation

      Allows advisors to cancel systematic purchases or redemptions; use a separate form for each fund cancelation.

    •  Options Application Form

      Request options trading for a new or existing Scottrade® Account. Custodial accounts and qualified retirement plans (excluding IRAs) are limited to covered call writing.

    •  Power of Attorney Certification

      Use this form to apply a Power of Attorney (POA) to an existing Scottrade® account.

    •  Privacy Statement

      Please read this document and retain a copy for your records. You do not need to return this document.

    •  Rescind Letter

      Instruction to Cancel Account Transfer.

    •  Recurring Withdrawal Request Authorization

      This form is for clients that require recurring distributions from non-IRA accounts.

    •  Release of Information

      This form should be used by advisors requesting the delivery of client account information to a third-party service provider.

    •  Resignation of Custodianship

      This is not a designation of a substitute custodian. The appointment of a successor custodian shall in no way affect any existing or prior liabilities resulting from any transactions initiated by the resigning custodian.

    •  Request to Remove Worthless Securities

      This form is used to remove securities from your Scottrade® account. The advisor is to sign this form.

    •  Scottrade Advisor Services IRA Application

      Complete this application to open a Scottrade® IRA account. Please note that some account types require additional paperwork.

    •  Signature by Mark

      This form is used when clients have physical limitations which prevent them from being able to sign the required forms.

    •  Signature Page

      For accounts opened online or with an electronic signature, the client's physical signature is required to perform certain account activities including, but not limited to, wire transfers, ACH transfers, IRA distributions and account linking.

    •  Simple Contribution Transmittal

      This form is to be used by employers when remitting contributions to their Scottrade® SIMPLE IRA plan.

    •  Standing Letter of Authorization to Transfer Funds

      This form is used by the account holder(s) to request standing transfer instructions from their Scottrade® account, Non-IRA account.

    •  Stock Deposit

      Use this form to deposit stock certificates into a Scottrade® account.

    • Trade Away & Settlement Services Amendment (Account Holder)

      This form should be used to identify contacts and clearing information for any executing broker-dealer that an advisor could use for Trade Away & Settlement Services. The form must be submitted before an Advisor can engage in any Trade Away or Settlement Services activities.

    • Trade Away & Settlement Services Amendment (Investment Manager or Advisor)

      This form sets forth the terms and conditions between Scottrade and the Advisor to in Scottrade’s Trade Away and Settlement Services offering. The agreement provides the necessary disclosures and hold harmless language for the execution of Trades Away from Scottrade.

    • Trade Away & Settlement Services Executing Broker Request Form

      This form should be used to identify contacts and clearing information for any executing broker-dealer that an advisor could use for Trade Away & Settlement Services. The form must be submitted before an Advisor can engage in any Trade Away or Settlement Services activities.

    • Trade Away & Settlement Services Notification Form

      This form is to notify Scottrade Advisor Services of any trades executed away from Scottrade. The form must match the details of the trade and contain the allocation instructions. 

    •  Trading Authorization

      This form appoints and authorizes a non-registered investment advisor to act on your behalf with regard to your Scottrade® client account.

    •  Transfer on Death Agreement

      This is a beneficiary plan which covers the assets in a Scottrade® account upon the death of the final account holder. This plan is only available for individual or joint accounts.

    •  Transfer on Death Distribution

      This form must be notarized in order to complete any distribution from an account with a TOD Agreement on file.

    •  W-9 Form

      The W-9 form requests a taxpayer identification number and certification.This form sets forth the terms and conditions between Scottrade and the Advisor to participate in Scottrade’s Trade Away and Settlement Services offering. The agreement provides the necessary disclosures and hold harmless language for the execution of Trades Away from Scottrade.