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Account Opening Documents

Penson
Broadcort

Prime Broker Opening Packet
New Account Form - Cash
Cash Account Opening Packet
ACAT
New Account Form DVP
Margin Agreement
Option Agreement
Revocation of Guaranty of Account Form
Trading Authorization
Guaranty of Account
Initial Margin Disclosure Statement
Investment Objective Addendum
Stock Power
Triad Trader Pro Agreement
Trust Certificate
DSRQ Agreement

Certificate of Sole Officer
Corporate Account - Margin
DVP Opening Packet
151 Agreement
Joint Account Agreement (With Rights of Survivorship)
Limited Liability Company Agreement
Sole Proprietorship
Non-Corporate Resolution

Partnership Agreement
Roth IRA Application & Agreement
IRA, SEP, SIMPLE Distribution Request
Change of Beneficiary Designation Form
W9 Form
W8BEN form
W8BEN Instructions
Mail Authorization - PO Box - CO Form
W-8IMY Instructions
W-8IMY Form
Triad Client Agreement
Educational Savings Acct Agreement
IRA or Sep Account Application
Roth IRA Distribution Request
Direct Conversion Request
Ridge Streetside Account Form
New Acct Investment Objective & Risk Factor

TRIAD SECURITIES CORP

111 Broadway, Suite 1125
New York, NY 10006

Registered with the S.E.C.
Member of FINRA
Member of SIPC

Excess SIPC: Securities in your account protected up to $500,000. Excess SIPC protection provided via Ridge Clearing & Outsourcing. Details on Excess SIPC Protection: Penson

Triad Business Continuity Plan
Triad Privacy Notice
Day Trading Risk Disclosure Document
Customer Identification Program Notice

Triad Securities Limited Terms of Business

TRIAD SECURITIES LIMITED

Authorised and Regulated by
The Financial Services Authority

Registered Office
25a Motcomb Street
London
SW1X8JU
Registered in England No 3176715

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