Required Fields - Individual
Field | Fully-Disclosed | FA | ND-OWD | ND-NonQI | ND-QI with Trading | ND-QI No Trading |
---|---|---|---|---|---|---|
Email* | Y | Y | Y | N | N | Y- email address of broker OR client is accepted. |
Name (first, last)* | Y | Y | Y | Y | Y | Y |
DOB | Y | Y | Y | Y | Y | N |
CountryOfBirth | Y | Y | Y | Y | Y | N |
NumDependents | Y | Y | N | N | N | N |
MaritalStatus | Y | Y | N | N | N | N |
Identification (ID Document, Citizenship) | Y | Y | Y | Y | Y | N |
MailingAddress | Y | Y | Y | Y | Y | N |
Residence (Country*, State, City, Street, Postal Code) | Y | Y | Y | Y | Y | Y- country only. |
Phone (Mobile Phone Number) | Y | Y | N | N | N | N |
EmploymentType | Y | Y | Y | N | N | N |
EmploymentDetails (If EMPLOYED or SELFEMPLOYED) Occupation, Company, Nature of Business, employer address) | Y | Y | Y | N | N | N |
TaxResidencies (Country and TIN)* | Y | Y | Y | Y | N | N |
Tax Form (W8Ben/ W9) | Y | Y | Y | Y | N | N |
WithholdingStatement | N | N | N | N | Y | Y |
FinancialInformation (Net Worth, Liquid Net Worth, Income) | Y | Y | Y | N | N | N |
SourcesOfWealth | Y | Y | Y | N | N | N |
InvestmentExperience (Years Trading, Trades Per Year, Knowledge Level) | Y | Y | N | N | N | N |
RegulatoryInformation (Regulatory Control and Affiliation) | Y | Y | Y | N | N | N |
Accounts (Base Currency, Margin)* | Y | Y | Y | Y | Y | Y |
TradingPermissions | Y | Y | Y | Y | Y | Y |
InvestmentObjectives | Y | Y | N | N | N | N |
AdvisorWrapFees (Fee configuration) | N | Y | N | N | N | N |
Documents- Sign IB Agreements / Disclosures | Y | Y | N | N | N | N |
Documents- Proof of Address and Proof of ID | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | N |
Sample Application | Fully-Disclosed | Advisor | Individual- NonUS (OWD) | Non-Disclosed NonQI | Individual- Saudi Arabia (ND-QI with Trading) | Individual- Saudi Arabia (ND-QI No Trading) |
*Required for Hybrid DAM Account Opening.