Lek Securities Corporation
Account Opening Forms
Important information about procedures for opening a new
account:
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.
Individual Account Opening Form
Institutional Account Opening Form
Corporate Resolutions
Customer Agreement
Customer Consent to Electronic Delivery of Documents
Prime Brokerage Addendum to Customer Agreement
Options Agreement (individuals)
Institutional Options Agreement
Characteristics and Risks of Standardized Options
Prior to buying or selling an option, investors must
read a copy of this disclosure document. It explains the characteristics
and risks of exchange traded options.
Power of Attorney (with right to withdraw funds)
Power of Attorney (limited)
Guarantee of a Customer Account
Investment Advisor Letter
Initial Margin Disclosure Statement
Privacy Policy Acknowledgement
Truth in Lending Statement
Execution Agreement with Prime Brokerage Customers (SIA Form 151)
Prime
Brokerage Agreement between Lek and Prime Broker including Schedule A
(SIA 150)
Certification Regarding Correspondent Accounts for Foreign Banks
Foreign entities must provide the following
constitutional documents:
* Certificate of Incorporation
* Offering Memorandum, if
available
* Memorandum and Articles of
Association
* List of Officers and
Directors
Wire Funds Transfer Request Form
Individual
Retirement Accounts (and other tax deferred accounts)
Special Documents for "Portfolio Margin Accounts"
