Lek Securities Corporation
Account Opening Forms
Important information about procedures for opening a new
account:
To help the government fight the funding of terrorism and money
laundering activities, Federal law requires all financial institutions
to obtain, verify, and record information that identifies each person
who opens an account.
What this means for you:
When you open an account, we will ask for your name, address, date
of birth and other information that will allow us to identify you. We
may also ask to see your passport or other government issued identifying documents.
Individual Account Opening Form
Institutional Account Opening Form
Corporate Resolutions
Listing of Authorized Signatories of a Legal Entity
Customer Agreement
Customer Consent to Electronic Delivery of Documents
Prime Brokerage Addendum to Customer Agreement
Options Agreement (individuals)
Institutional Options Agreement
Special Agreement Concerning Early Exercise Notices
and Contrary Exercise Advices of Option Contracts.
(To be executed by all Options Customers)
Customer Ackowledgement of Important
Disclosure Statements
Power of Attorney (with right to withdraw funds)
Power of Attorney (limited)
Guarantee of a Customer Account
Personal Financial Statement
Investment Advisor Letter
Execution Agreement with Prime Brokerage Customers (SIA Form 151)
Prime
Brokerage Agreement between Lek and Prime Broker including Schedule A
(SIA 150)
Proprietary Trading Agreement (use for
broker-dealers only)
Certification Regarding Correspondent Accounts for Foreign Banks
Foreign entities must provide the following
constitutional documents:
* Certificate of Incorporation
* Offering Memorandum, if
available
* Memorandum and Articles of
Association
* List of Officers and
Directors
Wire Funds Transfer Request Form
Request to Deliver Securities
Questionnaire
required to be completed when depositing physical
certificates
Individual
Retirement Accounts (and other tax deferred accounts)
Special Documents for "Portfolio Margin Accounts"
