Required Onboarding Documents

Articles of Incorporation

Articles of Incorporation legally documents the creation of a corporation by a government body. This document generally contains the entity's name, street address, registered agent, and the amount and type of stock to be issued.

Other names: Corporate Charter, Articles of Association or Certificate of Incorporation

Corporate Resolution

Corporate Resolution legally documents the ability that an individual may have to act on behalf of an entity. In the case of a single member LLC, the manager of the entity can grant themselves this authority. i.e. open an account, acquire debt, etc.

Other names(s): Corporate Authorization

SS-4 / EIN Registration

SS-4 is the legal document that a government body distributes as confirmation for the entity's EIN registration.

Other names(s): EIN Registration

Membership Ledger

Membership Ledger is the legal list of managers and members of an entity.

This is often found as part of the Operating Agreement.

Other name(s): Member ledger

W-9

W-9 form is an IRS tax form that is used to confirm a person's name, address and Taxpayer Identification Number (TIN) for employment or other income-generating purposes.

Other name(s): Request for Taxpayer Identification Number

Certificate of Good Standing

Certificate of Good Standing is a document proving a business is legally registered and able to operate in a state.

This document can typically be requested from the State Department of the state the entity is registered in at no cost.

Other name(s): Certificate of Existence or Certificate of Status

Operating Agreement

Operating Agreement is a legal document that customizes the terms of an entity according to the specific needs of its owners. It also outlines the financial and functional decision-making in a structured manner. It is similar to Articles of Incorporation that govern the operation of a corporation.

Other name(s): Bylaws

Shareholders’ Agreement

Shareholders' Agreement describes how the company should be operated and outlines shareholders' rights and obligation as well as information on the management of the company including privileges and protections.

Other names(s): Stockholders' agreement or Operating Agreement

Limited Power of Attorney

Limited Power of Attorney is an authorization that permits a portfolio manager to perform specific functions on behalf of the account owner. In general, it allows the manager to execute an agreed-upon investment strategy and take care of routine related business without contacting the account holder.

DBA Registration

Doing Business As (DBA) is a secondary name that the entity uses to conduct business. Legal registration of a DBA is required in some states to open accounts and enter contracts.

Other name(s): Fictitious Business Name, Trade Name or Assumed Name

Additional licenses

Please provide any additional licenses that allow you to operate within your industry or registered state. (MSB,RIA, Broker-Dealer, TPA, etc.)