Brokerage Onboarding Checklist

Required documents for brokerage application

In preparation for your brokerage account application process, please begin to gather the following documents prior to your scheduled onboarding call.

You will only be required to provide one document type for each request. Outlined below, you will find all acceptable document options.

Additional documents may be requested during the application process.

Proof of Personal Address
Document	Instructions
Bank Statement	Bank Statement, Credit Card Statement, Brokerage Statement, Mortgage Statement, Address confirmation letter issued by a bank Documents must be less than 12 months old, must show full name, current address and must be a letter headed document.
Government Issue Document or Letter	National ID, Driver's License, Residence Permit, Pension Statement, Address confirmation issued by local authorities, Government issued tax bill for personal or property tax Documents must be less than 12 months old, must show full name, current address and must be a letter headed document.
Utility Bill	Gas/Electric/Water Bill, Cable/Internet Bill, Landline Phone Bill Documents must be less than 12 months old, must show full name, current address and must be a letter headed document. Note: Bills for cell phone service are not valid proof of address.

Financial Statements
Document	Instructions
Financial Statement	A copy of the most recent audited financial statement.

Proof of Authorization to Open Margin Account

Document

Instructions

Authorization to Open Account - Evidence

Interactive Brokers collects proof of authority for persons opening accounts on behalf of legal entities. Please provide a relevant document, such as Articles of Incorporation, LLC Agreement, Partnership Agreement, Certificate of Incumbency or other organizational document demonstrating the authority of the person who is signing the Form.

Applicants can also provide a signed board resolution under the company letterhead or public filings that evidence the authority of the person opening the account.

The form must be hand-signed or otherwise be provided by a government registry, such as the SEC Edgar Database or filed documentation with a Secretary of State.

The person listed on the 'Authorization to Open Account - Evidence' document must match the person listed on the document submitted as evidence.

Proof of Principal Place of Business Address
Document	Instructions
Utility Bill	The bill must clearly show the entity's full name and operational business address and must be less than {0} months old. For example, a bill for electricity, water, telephone or gas service (mobile phone bills are not acceptable).
Current Business Lease	The lease must clearly state the entity's full name and business address.
Certified Proof of Identity	Other Government Issued Letters or Statements Establishing the Current Address of the Entity (less than 12 months old). E.g., Tax Letters/Notices, Etc.
Evidence of Ownership of Property	For example, title deed or mortgage statement issued by mortgagor within the past 6 months. The document must clearly show the entity's full name and business address.
Certified Proof of Address	Business Insurance Policy Documents or Riders or Insurance Bill. Policy must be currently in effect and show address being verified.
Additional Proof of Identity Document	Any of the documents that are acceptable as proof of existence of the entity (such as Articles of Incorporation, Company Charter, Partnership Agreement Government Issued Business License, or Government Issued Certificate of Good Standing) are also acceptable for Proof of Address. However, 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.
Bank Statement	Bank Statement or Signed Letter from Bank on Bank Letterhead Confirming Address Customer and bank must be from a country that is a full member of the Financial Action Task Force on Money Laundering (see http://www.fatfgafi.org). Statement must be less than 12 months old and show full name and current address.
Brokerage Statement	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 full member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org) Statement must be less than 12 months old and clearly list the customer name and the address

Tax Exempt Status (if applicable)
Document	Instructions
Tax exempt evidence	Provide evidence of tax-exempt status by the IRS and required reports with regulatory authorities.

Proof of Existence (Documents must be less than 12 months old)
Document	Instructions
Offering Document (if fund)	Offering document is a document, filed either provincially or federally by the corporation's founders, describing the purpose, place of business, and other details of the Fund.
Articles of Incorporation	The document submitted must clearly state the name of the applicant's owner as it appears on its account application and be certified or notarized.
Corporate Charter	The document submitted must clearly state the name of the applicant's owner as it appears on the account application and be stamped by a government authority or otherwise have indicia that it was filed with a government body.
Government-issued Business License	The document submitted must clearly state the name of the applicant as it appears on its account application.
Certificate of Good Standing	The document submitted must clearly state the name of the applicant's owner and be certified or notarized.
Articles of Organization	The document submitted must clearly state the name of the applicant's owner as it appears on its account application and be certified or notarized.
License or Registration Certificate	The document submitted must clearly state name and authority to conduct advisory business.
Government-issued Certificate of Good Standing	The document submitted must clearly state the name of the applicant's owner as it appears on its account application and be certified or notarized.