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PTI
offers traders easy access to the documentation necessary
to quickly establish a new trading account. |
Select
an account and print the forms. Fill out, sign, date, and
return the documents to PTI. |
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Once
PTI receives the completed forms and your account has been
established, copies will be mailed back to you for your
records as per the Books and Records Regulations and
USA Patriot Act of 2001. We also encourage clients
to review PTI's Business
Continuity Plan. |
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If
you do not have Adobe Acrobat Reader version 6.0 or
above, click here
to download a free version. |
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| Securities |
IRA |
Transfers |
Futures |
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Please
Return**ORIGINALLY
SIGNED**
completed forms to:
PTI
Securities Attn:
New Accounts
411 S. Wells Street, Suite
900 Chicago,
IL 60607-3905
Missing
a form? Unsure if you have completed the forms correctly?
Contact
Larry Kelch at 800.821.4968
prior to mailing your application.
You
may also FAX your application to Attn: L. Kelch
for initial review to 312.663.3058
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Futures Accounts
are established through RJ O'Brien. Please follow
RJ O'Brien submission instructions. Please
contact Larry
Kelch with questions regarding Futures Accounts
at 800.821.4968.
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Notice
to Customers |
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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
driver's license or other identifying documents. |
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Privacy
Policy - View
Privacy Policy or Download |
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Funding of accounts
may be accomplished by either wiring funds or including
checks with account packages. 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.
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Account
Transfers |
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When
transferring accounts from another broker, the Account Transfer
Form (ACATS) and a copy of the client’s last month
end statement are needed. If transferring an IRA from a
non-broker/dealer (i.e. bank), a Transfer Acceptance letter
is needed in lieu of the ACATS form. |
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Online
Account Access |
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PTI
Securities & Futures clients will be provided with
online
account information access through e-View®.
This secure service allows you to
view your account information online, monitor your positions,
balances and activity with real-time information, and retrieve
quotes and market news. To inquire about or to have your
account set up, contact
us. PTI Securities & Futures
restricts access to your personal account(s) and information
to those employees who need to know that information to
provide products or services to you. We maintain physical,
electronic and procedural safeguards that comply with the
industry standards to safeguard your nonpublic personal
information. Third parties who have access to such personal
information must agree to follow appropriate standards of
security and confidentiality. |
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These
are documents relating to a securities account: |
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| Securities
Account Agreement |
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This
is a general information questionnaire which will
assist your broker in assessing your financial situation,
trading experience, and investment objectives. Within
this document is: |
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Margin
Agreement - If you intend to carry spread
option positions, the margin agreement is necessary.
A margin agreement is necessary even if you are
not borrowing funds. The Margin Agreement signature
line is found on page 2 of the Securities Account
Agreement. |
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W-9
- The signature line for the W-9 is found at the bottom
of page 1 of the Securities Account Agreement. Please
do not forget to sign this portion of the form. |
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Client
Survey Form, SEC Rule 14b-1(c) - This form
requires customer initials and can be found on the
second page of the Securities Account Agreement.
The Client Survey Form asks whether or not you wish
Mesirow Financial Inc. to disclose your name to
the company in which you have invested. |
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Option
Approval Form and Agreement |
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In
order to trade options, industry regulators require
this agreement. Incomplete or unsigned documents will
be returned. If you have any questions, please call
us. |
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| Corporate
account packages should also include a Corporate
Resolution. |
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| Partnerships
should include a Partnership Agreement
and joint accounts should include a Joint Account
Agreement. |
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| 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. |
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PTI
Securities & Futures and your introducing broker dealer
will only disclose certain information about you, as permitted
by law, under the following circumstances:
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When we believe in good faith that disclosure is required
under law to cooperate with regulators or law enforcement
authorities.
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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. PTI Securities & Futures L.P.
is registered with the Securities Exchange Commission
(SEC), and National Association of Securities Dealers,
Inc (NASD / FINRA). PTI is also a member of SIPC.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 at 800.821.4968.
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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. |
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All
customers who complete the above agreements must sign the
Customer Acknowledgement and Warranty New Account
Agreement disclaimer which is included with the
download. |
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Important
Futures Account Funding Information |
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can begin only when cleared funds are made payable
to R.J.O'Brien and provided in one of the following
ways:
A
bank wire to the Harris Trust & Savings Bank of Chicago
for the account of R.J. O'Brien, customer segregated account
367-171-6. The ABA routing, if necessary, is 071-000-288.
(Be sure to include your name, as it appears on your account
agreement, and your complete account number.)
A
certified check, cashier's check or money order made payable
to R.J. O'Brien will also allow you to begin trading immediately.
If you are opening a new account, personal checks, money
market checks, and savings & loan checks may require
clearance before you can trade. Cash currencies cannot be
accepted. In addition, all funds coming into the account
must match the name on the account.
If
you are TRANSFERRING your account from another firm, please
fill out the form in the back of your application, return
it to PTI Securities & Futures with other required documents,
and we will transfer positions and funds accordingly.
When
your account is open and trading, carefully read your statements
as soon as you receive them. If you plan to be away, check
in with PTI Securities & Futures frequently. Do not
delay reviewing your trading status...this is important!
If you have any questions about an individual trade or your
balance or position, phone PTI Securities & Futures
immediately. |
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...PTI
Securities & Futures
LP .....411 S. Wells Street, Suite
900, Chicago, IL 60607..... P. 800.821.4968
.....F. 312.663.3058 |
Options
involve risk and are not suitable for all investors.
Copyright © 2010 PTI Securities & Futures LP .|.
Member SIPC NFA
FINRA |
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800.821.4968
