• Articles of Incorporation;
• Company Charter;
• Partnership Agreement;
• Govt-issued business license;
• Govt-issued Certificate of Good Standing from the Jurisdiction of Incorporation;
• Business Registration;
• Regulatory Registration License.

• 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.

• U.S. or Other Government Tax Form· Financial Statement;
• Financial Statement;
• Other Government-issued Document.

Note: The ID provided in any of the above documents should match the ID given on your online application. Companies that do not have a tax ID can use their business registration number.

• The firm's most recent audited financial statement. If your firm is not required to have audited financial statements, you may provide unaudited statements.

• If you are a non-U.S. broker, provide monthly financial reports as required by the legislation of your country of operation. If you are not obligated to file monthly financial reports, provide a statement to this effect, on firm letterhead, signed by an officer of the company;
• If you do not want access to US Stocks, then you only need to submit ONE monthly financial report. This report should be recent and cover one of the last preceding three months.

• A copy of the disciplinary history of the firm and its officers, including any enforcement actions, disciplinary proceedings or other regulatory actions, proceedings or settlements involving the firm and its officers;
• If the firm has no disciplinary history, you may provide a signed statement stating that neither the firm nor its officers have ever been subject to any disciplinary action or enforcement proceeding of any kind. This statement must be on the firm's letterhead and signed by an officer of the firm.

• If the owner is an individual, provide a copy of the person's passport, driver's license, national identity card or alien identification card. It should be photographic and ideally include a signature;
• If the owner is an entity, the entity's articles of incorporation company charter, partnership agreement, government-issued business license or government-issued certificate of good standing;
• If the owner is a listed company then no proof of identity is required.