Additional Documents

Depending on the account type and other factors, additional documents may be required. The forms referenced below are the most common.

Employee & Employer Certification (SIMPLE) Form

• Required for all SIMPLE IRA accounts.
• Used to verify the employer and employee information.
• Accounts requiring this form will remain restricted from all trades until it is received in good order.

Inherited IRA Account Amendment Form

• Required for all Beneficiary (Inherited) IRA accounts.
• Used to verify the decedent’s account information.
• If this form is not submitted before the account is funded, Folio will require a copy of a statement from the previous account to verify that all assets received are inherited assets.

Supplemental Entity Information Form

• Required for all Corporate accounts.
• Used to provide the requested information for all "Beneficial Owners" and "Control Persons" associated with a legal entity opening a brokerage account.
• Accounts requiring this form will remain restricted from all trades until it is received in good order.

For Financial Advisor Use Only. Not for Distribution.