PTI Securities & Futures offers traders easy access to the documentation necessary to quickly establish a new trading account. Select an account type from the drop-down menu and print all the major forms which are included in that one PDF file. Fill out, sign, date and return the appropriate documents to PTI. Once PTI receives your original account forms and your account has been established, copies will be mailed back to you for your records, in accord with the Books and Records Regulations and USA Patriot Act of 2001. It is also encouraged that clients/potential clients review the PTI Securities & Futures Business Continuity Plan.

• Information we receive from you on account applications, forms and other information may include your name, address, telephone number, social security number, occupation, assets and income.
  
• Information about your transactions with us or a non-affiliated third party such as account balances, payment history and account activity.
  
• Information we receive from a consumer-reporting agency, such as your credit bureau reports and other information relating to your creditworthiness.

Securities account checks MUST be made payable to Mesirow Financial Inc. and must be drawn on an account in the name of the customer. Cashiers checks are not acceptable for deposit into customer's accounts.

Third party checks or checks made payable to PTI Securities & Futures will be returned. (All checks drawn on accounts titled differently than that of the account to be opened are considered third party.) Additionally, PTI Securities & Futures has an initial minimum deposit requirement of $10,000.00.

Securities Wire Transfer instructions are as follows:

The Bank of New York
One Wall Street
New York, NY 10286
ABA # 021-000-018
For the A/C of: Mesirow Financial, Inc.
A/C # 8900-366540
FBO: (Customer a/c name)
... .... (Customer a/c number)

• Corporate account packages should also include a Corporate Resolution.
• Partnerships should include a Partnership Agreement and joint accounts should include a Joint Account Agreement.
• Trusts do not require an extraordinary agreement but when submitting a trust account application, it is necessary to include a copy of the trust document. If the trust document is lengthy, it is only necessary to include the portion identifying the trust and its trustees, the powers of the trustees (investment powers), the signature page of the document, and the portion indicating the types of investment allowed by the trust.

• When we believe in good faith that disclosure is required under law to cooperate with regulators or law enforcement authorities.
  
• To consumer reporting agencies.
  
• To our service providers to help us process your applications or service your accounts. These service providers, in turn are required to protect the confidentiality and security of any information we give to them and may not reuse it for any other purpose.

Mesirow Financial Inc. clears PTI’s securities transactions. In order to open an account(s) with PTI Securities & Futures, it is necessary to submit proper account documentation. Incomplete or partially complete account packages cannot be processed. Please call us if you have any questions. PTI clients can view Mesirow's Order Routing Statistics here.

Individual Self-Directed IRA Plans are provided by Delaware Charter Guarantee and Trust Company.

The account package should include the IRA Application, Securities Account Agreement, Option Agreement and a separate IRA Plan amendment. The amendment provides for the allowance of additional option trading strategies. If you plan to position options in an IRA, the option agreement is necessary. If you plan to buy a leap and sell a short term call against it, the margin agreement is required. If you have any questions regarding allowable option strategies in an IRA, please call us at 800.821.4968.

Please be sure to indicate beneficiary information on the application (including Social Security number and date of birth). If the beneficiary is a trust, please include a copy of the trust document.

If you are missing any particular agreement, or are unsure if you have completed the forms correctly, please contact Larry Kelch at 800.821.4968 before submitting your account package.