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Step 1

New account application

Trading info

Page 1 of 6

Step 2

Trader Suitability Questionnaire

In order to help us assess your experience and to determine if CenterPoint is the right brokerage firm for you, please answer the questionnaire below.

Page 2 of 6

Step 3

Account Holder

Home address (No P.O. Boxes)

Mailing address (if different from home address)

Single
Married
Divorced
Widowed
Receive Communication Electronically

Please check this box if you wish only to receive communications electronically, including trade confirmations, prospectuses, account statements, proxy materials, tax-related documents, and marketing and sales documents. If you do not check this box, additional charges will be applied by the clearing firm.

Employment

Employed
Self-Employed
Unemployed
Retired
Student
Other

Employer address


Yes
No
Yes
No
Yes
No

Page 3 of 6

Step 4

Financial Info

< $25,000
$25,000 - $50,000
$50,001 - $100,000
$100,001 - $250,000
$250,001 - $500,000
> $500,000
< $25,000
$25,000 - $50,000
$50,001 - $100,000
$200,001 - $500,000
$500,001 - $1,000,000
> $1,000,000
< $25,000
$25,000 - $50,000
$50,001 - $100,000
$200,001 - $500,000
$500,001 - $1,000,000
> $1,000,000
0 - 15%
16 - 25%
26 - 30%
31 - 35%
Over 35%
< $50,000
$50,001 - $100,000
$100,001 - $250,000
$250,001 - $500,000
> $500,000
< $50,000
$50,001 - $100,000
$100,001 - $250,000
$250,001 - $500,000
> $500,000
Very important
Important
Somewhat important
Does not matter

Initial funding

Income
Pension or retirement savings
Funds from another account
Gift
Sale of business or property
Insurance payout
Inheritance
Social Security benefits
Home Equity Line or Credit/Reverse Mortgage
Other

Page 4 of 6

Step 5

Experience & Tolerance

Financial investment experience

Please select what best describe your investment experience to date

Stock
Options

Financial investment experience

Significant Risk*
I am willing to accept maximum risk to my initial principal to aggressively seek maximum returns and understand that I could lost most or all of the money invested.

* We consider day trading to be a high risk trading strategy. Our clients must have a 'significant risk' tolerance to employ such a strategy. Please ensure that you have read and understand the Day Trading Disclosure Statement in the Disclosure section before submitting your new account documentation. It is in your best interest to carefully consider whether or not you have significant risk tolerance before proceeding with this form.

Page 5 of 6

Thank you! Steps 1-5 are complete.

You have successfully completed steps 1-5 and your information has been submitted to our team. The final step is to download, sign, and return the documents below for final approval. Please continue below.

Step 6

Disclosures

  1. Download and complete the following agreement and disclosure documents.
  2. Include copy of current driver's license
  3. When complete, send them back to our team via email at newaccounts@centerpointsecurities.com. Or fax them in at 1-858-673-0227.

Downloads

Download all 7 documents at once (.zip)

Centerpoint Securities all application disclosure documents.zip Download


Download the documents individually (PDF)

ETC Clearing

Account Agreement.pdf Download

Client Authorization Form.pdf Download

Day Trading Risk Disclosure Statement and Acknowledgements.pdf Download

Electronic Access and Trading Agreement.pdf Download

Margin Agreement and Disclosure.pdf Download

W-8Ben Certificate of Foreign Status of Beneficial Owner.pdf Download

W-9 Request for Taxpayer Identification Number and Certification.pdf Download

Stock Locate Agreement.pdf Download

Wedbush Clearing

Account Agreement.pdf Download

Day Trading Risk Disclosure Statement and Acknowledgements.pdf Download

Electronic Access and Trading Agreement.pdf Download

Margin Agreement.pdf Download

Letter A W-9.pdf Download

W-8Ben Certificate of Foreign Status of Beneficial Owner.pdf Download

Stock Locate Agreement.pdf Download

Page 6 of 6

Documents completed and ready to email?

newaccounts@centerpointsecurities.com or fax: 1-858-673-0227

Fields marked with an * are required

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