Accompanying Documentation

Other Documents and Forms

The following documents may be required when opening a CCII Non-standard Account or when adding features to your CCII existing account. Adobe Acrobat Reader is required to download and print these forms. Please call CCII Customer Service at 305-576-2200 if you have any questions.

• Accommodation Transfer Authorization

  This form is used when requesting the issuance of securities in a name other than the one listed on the account.

• Account Transfer

  This form is used to transfer your account from another brokerage firm, bank, or mutual fund. The names listed on the form must match and a copy of your most recent statement must accompany this form.

• Affidavit of Domicile

  This form is required for accounts that are used to settle estates. It is used to verify the state in which the individual resided at time of passing.

• Affidavit of Sole Ownership

  This form is used to identify the individual who is authorized to trade on a company’s account that is established as a Sole Proprietorship.

• Combined Statement Mailing

  This form should be used to combine multiple statements that are mailed to the same address into one mailing.

• Corporate Resolution

  This form is used when establishing a Corporate Account or when sending physical certificates, listed in the name of a corporation, to be deposited into an account. The form must be signed by the corporation’s secretary and have the company’s seal or be notarized. For companies of organizations that are not incorporated, please use the Non-corporate Resolution.

• General Power of Attorney

  This form is used to authorize one individual to act completely on another’s behalf.

• Investment Club Agreement

  This form is required when establishing an Investment Club account. All members of the investment club are required to sign.

• Letter of Authorization

  This multipurpose form may be used to authorize the transfer of funds or securities between accounts.

• Margin Account Agreement

  This form is used to establish a margin account.

• Portfolio Evaluation Service (PES)

  This form is used to establish an account on PES as well as to inform CCII on the cost basis of securities transferred into or held prior to PES activation.

• Request for a Disposition of a Non-transferable Security

  This form authorizes the removal of worthless securities from your CCII account.

• Stock Power OR Bond Power

  A signature of this form can serve as an alternative to signing the back of a physical certificate.

• Trading Authorization

  This form gives an accountholder the ability to grant another individual, not listed on the account, the ability to buy and sell securities on their behalf.

Securities (1) are not bank deposits; (2) are not insured or guaranteed by the FDIC or any other government agency; (3) are not obligations of, or guaranteed by, any financial institution; and (4) involve investment risks, including the potential for fluctuations in investment return and the potential loss of principal. Welcome to Capital & Credit International.