Ceros - Boutique RIA Platform - Hybrid & Trading Services

All Registration Forms

Registration Type	Required Application	Option	Margin	Checkwriting	Additional Documents Required
Administrator	Brokerage Account	Yes	N/A	Yes	Court documents appointing administrator If client is deceased Court documents appointing administrator Certified copy of death certificate
Church	Brokerage Account	Yes	Yes	Yes	Corporate Resolution
Conservator	Brokerage Account	N/A	N/A	Yes	Court documents appointing conservator
Corporation	Brokerage Account	Yes	Yes	Yes	Corporate Resolution
Custodial	Brokerage Account	Yes	N/A	Yes
Executor	Brokerage Account	Yes	N/A	Yes	Court documents appointing executor Certified copy of death certificate Affidavit of Domicile Letters Testamentary
Guardian	Brokerage Account	Yes	N/A	Yes	Court documents appointing guardian If client is deceased Court documents appointing executor Certified copy of death certificate Affidavit of Domicile
Individual	Brokerage Account	Yes	Yes	Yes
Investment Club	Brokerage Account	Yes	N/A	Yes	Investment Club Letter: Name of the member(s) authorized to trade Number of persons required to revoke agreement Signatures of all the members (25 maximum)
IRA (Traditional, RIRA, Roth, SEP, Bene)	Premiere Select IRA App	Yes	N/A	N/A
Joint	Brokerage Account	Yes	Yes	Yes
Limited Liability Co	Brokerage Account	Yes	Yes	Yes	LLC Form
Non-Prototype – Retirement Plan	Brokerage Account	Yes	N/A	N/A	Trustee Certification of Investment Powers (TCIP) (if trustee is entity) Corporate Resolution
Non-Prototype IRA	Brokerage Account	Yes	N/A	Yes	Trustee Certification of Investment Powers (TCIP) (if trustee is entity) Corporate Resolution
Partnership	Brokerage Account	Yes	Yes	Yes	Partnership Agreement Form
Personal Representative	Brokerage Account	Yes	N/A	Yes	Court documents appointing representative
Professional Association	Brokerage Account	Yes	Yes	Yes	Corporate Resolution
Professional Corporation	Brokerage Account	Yes	Yes	Yes	Corporate Resolution
Sole Proprietorship	Brokerage Account	Yes	Yes	Yes	Sole Proprietorship Letter – Proprietor's statement: The Sole Proprietorship Agreement is written on company letterhead and states: "I certify that I am the sole proprietor of ABC Company.". Signed by the proprietor
Transfer on Death	Brokerage Account	Yes	Yes	Yes
SIMPLE IRA	Plan Company Profile Form & Plan Account App	Yes	N/A	N/A
Trust	Brokerage Account	Yes	Yes	Yes	Trustee Certification of Investment Powers (TCIP)
Unincorporated Assoc	Brokerage Account	Yes	Yes	Yes	Corporate Resolution

Additional Forms

Form Name	Description
Appointment Card	This form appoints the Financial Advisor on the account
IRA Beneficiary & Successor Designation Form	Use this form to designate a beneficiary or successor beneficiary or to change a beneficiary for your Traditional, Roth, Rollover, SEP-IRA, SIMPLE IRA, or IRA-Beneficiary account
IRA One-Time Distribution Request Form	This form should be used to request a one-time distribution from your Traditional IRA, ROTH IRA, Rollover IRA, SEP-IRA, SIMPLE IRA or IRA-Beneficiary account
IRA Periodic Distribution Request Form	This form should be used to request periodic distributions from your Traditional IRA, ROTH IRA, Rollover IRA, SEP-IRA, SIMPLE IRA, IRA-Beneficiary account or to change an existing periodic distribution plan
Irrevocable Stock or Bond Power Form	This form should be used when depositing a stock certificate and the client does not wish to sign the back of the physical certificate. The client would sign this form and attach to the certificate.
Mutual Fund Periodic Investment Plan	This form is to establish a Periodic Investment Plan or to change an existing Periodic Investment Plan on non-retirement accounts
Mutual Fund Systematic Withdrawal Plan	This form is to establish a Systematic Withdrawal Plan or to change an existing Systematic Withdrawal Plan on non-retirement accounts
Power of Attorney Affidavit and Indemnification	This form is to be submitted when the beneficial owner has completed a durable power of attorney (not an NFS form), the event which triggers the durable power of attorney has occurred, and the attorney in fact will assume control over the account. Please submit this form with the durable power of attorney and any other supporting documentation required by the durable power of attorney.
Power of Attorney for IRA	This form is to add a Power of Attorney on a retirement account
Retirement Plan Distribution Request Form	This form should be used to request a distribution for your Retirement Plan Account or to change an existing periodic distribution plan. This form only applies if you are using NFS' prototype for your plan.
ROTH IRA Conversion form	Use this form to request a conversion of all or any part of your Traditional IRA, Rollover IRA, SEP-IRA or SIMPLE IRA to a ROTH IRA.
TOD form	Use this form to establish a Transfer on Death (TOD) account registration and to designate a beneficary(ies) for your TOD account. You may also use this form to change the existing beneficiary(ies) for your account.
Transfer of Assets	Complete this form to authorize the transfer of assets, currently at another firm, to your brokerage account at CFS. If you are transferring more than one account, complete one form per account.

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All Registration Forms

Additional Forms

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