US based advisors can create additional accounts of different types for US based clients either from an existing client account or from an unapproved application. This process reuses the information on an existing application and applies it to the new application. Advisors will only be required to provide the additional information needed to complete the new application. Each account created will generate a separate…

Professional advisors can close client accounts that have a zero balance or that have never been funded.

To close a client account:…

U.S. option exchanges have rules that distinguish between orders originating from public clients (i.e., not broker-dealers) whose trading behavior is deemed to be “Professional” (i.e., persons or entities trading in a manner more akin to a market maker than to a typical client) and those whose trading behavior is not. In accordance with these rules, any client that is not a broker-dealer and averages more than 390 option orders (for its own beneficial account(s)) per day in U.S.-listed options in a given month will be classified as Professional the following month…

The Pending Items section contains a list of records you can view, sort and search:

• Sort by clicking any column heading (Date, Account ID, Type, Account Title or Status).
• Search for specific Pending Items by typing in the search box…

There are multiple ways for clients to fund their accounts when migrating from another broker.

Additional Information…

ADVISOR PORTAL LOGIN

Log into the Advisor Portal from the Interactive Brokers website by clicking on Log In followed by Portal Login in the top right corner. The Advisor Portal login uses the same screen as Client Portal, but dynamically loads the Advisor Portal upon login…

For existing accounts, to create additional accounts for a single individual, advisors can use the "Create Additional Account" function.  This is available for already opened accounts and accounts currently in the application phase…

Only Advisors with the appropriate Full Service authorization can request permission upgrades for their clients. However, clients must log into their own account in Client Portal to sign all associated agreements. 

To request client trading permissions:…

An Account Representative is a user that Master Users can assign a percentage ownership of specific clients to the Account Representative…

Docusign allows the user to securely submit their electronic signature remotely from virtually anywhere, on any device.  Electronic signatures are more secure than paper and email attachments.

Additional Information…

To check the status of a client application:

1. Log in to Advisor Portal
2. From the Home page, click the Contacts…

The Client Data Queries tool is a feature to run reports based on performance, symbol, transaction count or required minimum distribution.

To run a Client Data Query report:…

Introduction

The following article is intended to provide an overview of U.S. Securities and Exchange Commission (“SEC”) Sections 13(d) and 13(g) Amendment Requirements. The overview is general in nature, and readers are encouraged to review the specific regulations and/or consult with a compliance professional to determine the applicability to their particular situation…

The Documents panel lets you upload and store documents related to your client for reference.

From the Dashboard, scroll to the Documents section to see all documents associated to your contacts…

Advisors and Brokers may add an FA account as a client. That Advisor’s clients will then become third tier clients. Advisors and Brokers can create multiple tier accounts by adding Registered Advisor, unregistered Family or Non-Professional Advisor, Proprietary Trading Group Separate Trading Limit (STL) and Multiple Hedge Fund master accounts to their broker account structure. …