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Options Trading Application and Agreement

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Options Trading Application and Agreement OFFICE USE ONLY: SUB FIRM: BR CODE: FA CODE: ACCT: Options Trading Application and Agreement Please use this form to apply for options trading capabilities on your account. Section 1 Tell Us About Your Brokerage Account As it appears on 8-Digit Brokerage Account Number Account Title your statement Section 2 Options Disclosure Document Fill in the date Industry regulations require that we furnish you with the Options Disclosure Document before you received your account can be approved for options trading. and read the Document Date Options Disclosure Document Received and Read (mm/dd/yyyy) Section 3 Tell Us About Yourself If joint account both account holders’ information is required For non- Primary Account Holder individual entities Name (For corporations, trusts, etc., enter entity name only) Date of Birth Number of (corporations, (mm/dd/yyyy) Dependents trusts, organizations, etc.) provide Employer Name (If retired, state retired) entity name Marital Status only in primary Single Married account holder Occupation Description (Supervisor, Sales Associate, Data Analyst) section Divorced Widow(er) Business Nature (Education, Transportation, Construction) Secondary/Joint Account Holder Name (For corporations, trusts, etc., enter entity name only) Date of Birth (mm/dd/yyyy) Employer Name (If retired, state retired) Occupation Description (Supervisor, Sales Associate, Data Analyst) Business Nature (Education, Transportation, Construction) Section 4 Discretionary or Third Party Trading Authorization (If applicable) Leave blank Requires an existing signed Trading Authorization or other Power of Attorney document on file. if no third party trading Name Relationship to applicant authority required Years of Investment Experience Options Stocks *Account(s) carried by First Clearing. First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company. 544465 (Rev 19 - 06/18) Page 1 of 5 Options Trading Application and Agreement Page 2 of 5 Section 5 Source of Information If information was given by someone other than the account owner or authorized person, check the box and provide name and relationship to the account owner. Not the account owner Name Relationship to account owner Section 6 Tell Us About Your Financial Situation Check one box for each section Joint accounts, Annual Income Liquid Assets Net Worth provide (Employer, investments, etc.) (Cash, securities, etc.) (Exclusive of residence) combined $0 – 49,999 $0 – 49,999 $0 – 49,999 figures $50,000 – 99,999 $50,000 – 99,999 $50,000 – 99,999 Corporations, $100,000 – 199,999 $100,000 – 199,999 $100,000 – 199,999 trusts, etc., $200,000 – 499,999 $200,000 – 499,999 $200,000 – 499,999 provide entity $500,000 – 999,999 $500,000 – 999,999 $500,000 – 999,999 figures $1,000,000 – 4,999,999 $1,000,000 – 4,999,999 $1,000,000 – 4,999,999 $5,000,000 – 9,999,999 $5,000,000 – 9,999,999 $5,000,000 – 9,999,999 Greater than $10,000,000 Greater than $10,000,000 Greater than $10,000,000 Section 7 Tell Us About Your Investment Experience For each Investment Years of Experience Average Trades per Year Types of Trades investment type, Type (Check all that apply) if None checked in years of Options None Less than 1 Less than 20 Cash Margin 1-2 3-5 6+ 20-49 50-100 100+ Short experience leave remaining row Stocks None Less than 1 Less than 20 Cash Margin blank 1-2 3-5 6+ 20-49 50-100 100+ Short Bonds None Less than 1 Less than 20 Cash Margin 1-2 3-5 6+ 20-49 50-100 100+ Short Commodities None Less than 1 Less than 20 Cash Margin 1-2 3-5 6+ 20-49 50-100 100+ Short Section 8 Tell Us How You Like to Invest Investment Objective (Risk Tolerance) Check one box only Income + Conservative (A) Growth + Aggressive (E) Income + Aggressive (I) Growth & Income + Conservative (B) Income + Moderate (G) Growth & Income + Aggressive (K) Growth + Moderate (C) Growth + Conservative (H) Trading & Speculation (L) Growth & Income + Moderate (D) Section 9 Your Options Trading Level Request Select a level Approval Level Options Strategies (1-6); check one box only Income and Safety Strategies Level 1 Covered call writing and buying puts against long stock positions (married puts) Level 2 Level 1 + put writing against full deposit of strike price (covered puts) Speculation and Trading Strategies Level 3 Level 2 + option buying, purchasing put/call warrants Level 4 Level 3 + option spreading Level 5 Level 4 + uncovered put writing vs. buying power Level 6 Level 5 + uncovered straddles, uncovered call writing 544465 (Rev 19 - 06/18) Options Trading Application and Agreement Page 3 of 5 Section 10 Your Signature All Owners Must Sign and Date CORPORATE ACCOUNTS: I certify that the corporate resolution or bylaws, or partnership agreement attached permits the use of options trading. FOR ALL ACCOUNTS: • I/We have read the Special Statement for Uncovered Option Writers located on the last page of this document. • I/We hereby certify that the background and financial information provided above is true, correct, and complete in all aspects, and agree to advise you by registered mail to the attention of the Compliance Department of any changes in my investment objectives, financial situation and needs insofar as such changes are material to my option transactions. • I/We acknowledge receipt of the current option risk disclosure pamphlet and represent that we have sufficient investment knowledge to invest in put and call options, and that option transactions are suitable for me/us. • Further, I/We have read, understand, and agree to be bound by the Options Agreement. It is noted that these provisions are in addition to provisions contained in the Basic Brokerage Account Agreement and Disclosure Document. • THIS AGREEMENT CONTAINS A PRE-DISPUTE ARBITRATION CLAUSE LOCATED ON PAGE 5. THE UNDERSIGNED HEREBY ACKNOWLEDGES RECEIPT OF A COPY OF THIS AGREEMENT. Owner or Authorized Person Title if Applicable Today’s Date (mm/dd/yyyy) X Title if Applicable Today’s Date (mm/dd/yyyy) All owners must Owner or Authorized Person sign and date X Owner or Authorized Person Title if Applicable Today’s Date (mm/dd/yyyy) X Owner or Authorized Person Title if Applicable Today’s Date (mm/dd/yyyy) X OFFICE USE ONLY Financial Advisor’s Signature Financial Advisor Name Rep Code Financial Advisor Signature Date (mm/dd/yyyy) Subfirm Branch Code Principal Approval Principal Approver Name Rep Code Options Level Approved (choose one) 1 2 3 4 5 6 Account Type Individual Investment Club Traditional/Roth IRA Uniform Gift/Transfer to Minor Sole Proprietorship Estate SEP IRA/SIMPLE IRA Retirement Trust/Pension, Profit- Sharing Plan Joint Partnership Limited Liability Company DVP Corporation Personal Trust Non-Corporate/Religious/ Non-Profit Bank/Trust Company/Credit Union ERISA Principal Approval Signature Date (mm/dd/yyyy) *Account(s) carried by First Clearing. First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company. 544465 (Rev 19 - 06/18) Options Trading Application and Agreement Page 4 of 5 Options Agreement In consideration of Introducing Firm and its clearing agent, First Clearing* (“Clearing Agent”) (hereinafter collectively referred to as “you”) respectively opening and carrying an account or accounts for me, I hereby represent and warrant with knowledge and intent that you rely thereon that all of the information and statements contained in this agreement are true and accurate. I agree to promptly notify you of any material change in my financial situation, needs, or investment objective. I acknowledge, agree, and represent: 1. I have received and read a copy of the document positions or exercise limits established by FINRA, entitled Characteristics and Risks of Standardized any exchange or any marketplace with respect to the Options. trading of options. 2. I understand that the purchasing or selling of options 9. I understand that when transactions on my behalf are may involve a high degree of risk and speculation. to be executed in options traded on more than one When purchasing options, there is the risk that the exchange, in the absence of my specific instructions, entire premium paid (purchase price) for the option you may use discretion in selecting the market in can be lost if the option is not exercised or otherwise which to enter my order. sold. When selling (writing) options, the risk of loss 10. In transactions involving Exchange or NASDAQ listed can be much greater if such options are written options I will comply with all the rules and regulations uncovered (“naked”). In such case the risk of loss can of said market, and the Options Clearing Corporation exceed the amount of premium received. and you, including, but not limited to, limitations on 3. I am capable of evaluating and bearing the financial the number of options I individually, or in concert with risks attendant to the writing (selling) or purchasing others, may have, long or short, or may exercise. of options. My capabilities are based on my income, 11. It is understood that if options are purchased, it net worth, experience and knowledge of securities shall be my sole responsibility to sell or exercise in a investing, my financial needs, and investment proper and timely manner as set forth by the Option objectives. Clearing Corporation and you. I agree in the event 4. I fully understand that an active program of less than three days remain until expirations of an purchasing and/or selling (writing) options may option, and when you have been unable to contact me involve concomitant purchases and sales of the regarding any positions in my account about to expire, underlying stock to which the options relate, and that you then may exercise the limited discretion granted such a program may produce a high level of trading to liquidate those positions as you may see fit.
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