What You Need - Application
In addition to your name, address and phone number, you will need the following information to complete the Non-Professional Advisor Account Application:
| Individual |
Partnership, Corporation, Limited Liability Company and Unincorporated Business
Everything from Individual column plus the following: |
- US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
- Your employer name, address and phone number.
- Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.
- Estimated Net Worth (excluding value of residence).
- Estimated Liquid Net Worth (excluding value of residence).
- Annual Net Income.
- Total Assets.
|
- Entity's Tax or Government-Issued Identification Number.
- US Tax Classification (Partnership, Corporation, Disregarded Entity).
- Controlling Officer name, address, phone number, US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
For each 10% or greater shareholder:
- Name
- Date of birth
- Address
- Phone
- Country of Citizenship or formation if entity
- Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
|
What You Need - Documents (Non-Professional Advisor Applicants in the US)
In addition to the information that you will need to complete the Non-Professional Advisor account application, you will be asked to provide the documents listed below.
Jump to a section:
US Residents
Organization, Non-Professional Advisor
Non-Professional Advisor Clients
US Residents
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Proof of your identity and date of birth |
The document should be a valid document that clearly states the name and DOB and is not in an editable format.
- Passport
- Driver's License
- National ID Card
- Other Government-Issued ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
|
| Proof of your address |
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices)
*Document should be less than 12 months old
|
Organization, Non-Professional Advisor
| Document Category |
Acceptable Documents (only one document per category is needed) |
Proof of your firm's existence
|
The document must be a valid, final version that clearly states the name of the firm and is not in an editable format.
- Articles of incorporation;
- Business License;
- Certificate of Good Standing from the Jurisdiction of Incorporation;
- Company Charter;
- Bylaws;
- Operating Agreement, Partnership Agreement, or LLC Agreement
|
Proof of your firm's address
. |
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices)
*Document should be less than 12 months old
|
| Proof of the IDENTITY of each individual or entity that has an ownership of 10% or more in the Non-Professional Advisor organization |
If the Owner is an Individual:
The document should be a valid document that clearly states the name and DOB and is not in an editable format
- Passport
- Driver's License
- National ID Card
- Other Government-Issued ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
If the Owner is an Entity:
The document must be a valid, final version that clearly states the name of the firm and is not in an editable format.
- The document must be a valid, final version that clearly states the name of the firm and is not in an editable format.
- Government-Issued Business License
- Government-Issued Certificate of Good Standing from the Jurisdiction of Incorporation
- Company Charter
- Bylaws
- Operating Agreement, Partnership Agreement, or LLC Agreement
|
| Proof of the ADDRESS of each individual or entity that has an ownership interest of 10% or more in the Non-Professional Advisor organization |
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices)
*Document should be less than 12 months old
|
| Proof of the identity of the Non-Professional Advisor's Authorized Trader |
The document should be a valid document that clearly states the name and DOB and is not in an editable format.
- Passport
- Driver's License
- National ID Card
- Other Government-Issued ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
|
| Proof of the residential address of the Non-Professional Advisor's Authorized Trader |
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices)
*Document should be less than 12 months old
|
Other Financial Institution Account Statement*
*This requirement applies only to organizations and trusts that have been formed in or are located in countries that are not full members of the Financial Action Task Force (see http://www.fatf-gafi.org). |
The document should clearly state the name of the firm and be less than 12 months old.
- Bank Statement
- Broker Statement
- Mortgage Statement
- Loan Statement
|
Non-Professional Advisor Clients
For each of its clients, the Non-Professional Advisor should submit:
If the client is an individual, (US)
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Proof of identity |
The document should be a valid document that clearly states the name and DOB and is not in an editable format.
- Passport;
- Driver's License;
- National ID Card;
- Other Government-Issued ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
|
| Proof of address |
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices)
*Document should be less than 12 months old
|
If the client is an organization, (US)
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Proof of the firm's existence |
The document should be a valid document that clearly states the name and DOB and is not in an editable format.
- Articles of incorporation;
- Business License;
- Certificate of Good Standing from the Jurisdiction of Incorporation;
- Company Charter;
- Bylaws;
- Operating Agreement, Partnership Agreement, or LLC Agreement
|
Proof of your firm's address.
|
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices)
*Document should be less than 12 months old |
Proof of the IDENTITY of each individual or entity that has an ownership of 10% or more in the Family Office organization.
|
If the Owner is an Individual:
The document should be a valid document that clearly states the name and DOB and is not in an editable format.
- Passport
- Driver’s License
- National ID Card
- Other Government-Issued ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
If the Owner is an Entity:
The document must be a valid, final version that clearly states the name of the firm and is not in an editable format.
- Articles of incorporation
- Business License
- Certificate of Good Standing from the Jurisdiction of Incorporation
- Company Charter
- Bylaws
- Operating Agreement, Partnership Agreement, or LLC Agreement
|
Proof of the ADDRESS of each individual or entity that has an ownership interest of 10% or more in the Family Office organization.
|
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner’s or Renter’s Policy Documents or Riders
- Current Bill for Homeowner’s or Renter’s Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices).
*Document should be less than 12 months old |
Proof of the identity of the Family Offices' Authorized Trader
|
The document should be a valid document that clearly states the name and DOB and is not in an editable format.
- Passport
- Driver's License
- National ID Card
- Other Government-Issued ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
|
Proof of the residential address of the Family Offices' Authorized Trader
|
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner’s or Renter’s Policy Documents or Riders
- Current Bill for Homeowner’s or Renter’s Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices).
*Document should be less than 12 months old |
Other Financial Institution Account Statement*
*This requirement applies only to organizations and trusts that have been formed or located in countries that are not full members of the Financial Action Task Force (see http://www.fatf-gafi.org). |
The document should clearly state the name of the firm and be less than 12 months old.
- Bank Statement
- Broker Statement
- Mortgage Statement
- Loan Statement
|
- You should submit one of the following for each of the officers of the organization that has the authority to sign for the organization (i.e.,, its Controlling Officer, Treasurer and/or Secretary:
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Proof of identity |
The document should be a valid document that clearly states the name and DOB and is not in an editable format.
- Passport;
- Driver's License;
- National ID Card;
- Other Government-Issued ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
|
If the client is a trust, you should submit:
| Document Category |
Acceptable Documents (only one document per category is needed) |
| Proof of Trustee Certification |
- Trustee Certification Form;
|
| Proof of ID for Trustee or Proof of Existence for Trustee (Required ONLY if US Trust – Not Revocable) |
If the Trustee is an Individual:
The document should be a valid document that clearly states the name and DOB and is not in an editable format
- Passport
- Driver's License
- National ID Card
- Other ID Card (i.e., US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
If the Trustee is an Entity:
The document must be a valid, final version that clearly states the name of the firm and is not in an editable format.
- The document must be a valid, final version that clearly states the name of the firm and is not in an editable format.
- Business License
- Certificate of Good Standing from the Jurisdiction of Incorporation
- Company Charter
- Bylaws
- Operating Agreement, Partnership Agreement, or LLC Agreement
|
| Proof of Trustee Address (Required ONLY if US Trust – Not Revocable) |
The document should clearly state the name and address and is not in an editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements establishing current address. (i.e., Tax Letters and notices; Letters or notices from government housing authorities; Jury duty notices; and/or Voter registration notices)
*Document should be less than 12 months old. |
| Proof of ID for Grantor/Settlor or Proof of Existence for Grantor/Settlor (Required ONLY if US Trust – Revocable) |
If the Grantor/Settlor is an Individual:
The document should be a valid document that clearly states the name and
DOB and is not in an editable format
- Passport
- Driver's License
- National ID Card
- Other ID Card (i.e., US State ID Card,
Visa, Alien Registration ID Card, Green Card, etc.)
If the Grantor/Settlor is an Entity:
The document must be a valid, final version that clearly states the name of the
firm and is not in an editable format.
- The document must be a valid, final version that clearly
states the name of the firm and is not in an editable format.
- Business License
- Certificate of Good Standing from the
Jurisdiction of Incorporation
- Company Charter
- Bylaws
- Operating Agreement, Partnership Agreement, or LLC Agreement
|
| Proof of Address for
Grantor/Settlor (Required
ONLY if US Trust –
Revocable) |
The document should clearly state the name and address and is not in an
editable format.
- Mortgage Statement*
- Deed
- Other Evidence of Property
- Current Lease (Fully-Executed Copy)
- Utility Bill*
- Driver's License
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued
Debit Card Statement or Signed Letter from Bank-on-Bank
Letterhead Confirming Address*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer*
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Current Homeowner's or Renter's Policy Documents or Riders
- Current Bill for Homeowner's or Renter's Insurance Policy*
- Security System Bill/Statement*
- Government-Issued Letters or Government-Issued Statements
establishing current address. (i.e., Tax Letters and notices; Letters or
notices from government housing authorities; Jury duty notices;
and/or Voter registration notices)
*Document should be less than 12 months old. |
What You Need - Funding
You can fund your account in any of the following currencies, regardless of which base currency you select:
- Australian Dollar
- British Pound
- Canadian Dollar
- Chinese Offshore Renminbi
- Czech Koruna
- Danish Krone
- Euro
- Hong Kong Dollar
- Hungarian Forint
- Indian Rupee (Available to customers with Interactive Brokers (India) Pvt. Ltd. accounts only)
- Israeli Shekel
- Japanese Yen
- Mexican Peso
- Norwegian Krone
- New Zealand Dollar
- Polish Zloty
- Singapore Dollar
- Swedish Krona
- Swiss Franc
- United States Dollar
During the funding step in the account application, you will need to provide us with additional information, which varies depending on the funding method you choose.
| Funding Method |
What You Need |
| Deposit Notifications: Notifications only and do not actually transfer money or positions. If you select one of these deposit methods, you are responsible for initiating the actual transfer of funds. |
| Wire Transfer |
- Amount of intended deposit
- Bank Name
- Bank Account Number (optional)
|
| Bank ACH Transfer from Your Bank |
- Amount of intended deposit
- Bank Name
|
| Check |
- Amount of intended deposit
- Check Number
- Bank Routing Number
- Bank Account Number
|
| Online Bill Payment |
- Amount of intended deposit
- Bank Name
|
| Free of Payment (FOP) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
- Symbol, Number of Shares, and Exchange (optional) of each Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
|
| Instruct IBKR to contact your bank or broker to transfer funds and/or assets: If you select one of these methods, money and and/or positions are transferred. |
| Automatic Bank ACH Transfer |
- Bank Account Number
- Bank Account Type (Checking or Savings)
- Bank's 9-digit routing number
|
| Automated Customer Account Transfer Service |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ACATS transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or US Mutual Fund to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- CUSIP Number and Aggregate Face Value of each US Bond to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option to transfer
|
| Account Transfer on Notification (ATON) |
- Name of Third-Party Bank or Broker
- Third-Party Bank or Broker Account Number
In addition, for partial ATON transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or Canadian Stock to transfer
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option and/or Canadian Option to transfer
|
| US Futures Asset Transfer |
From your Interactive Brokers Account Application:
- Interactive Brokers Account ID
- User Name
- Account Title
- Address
- Social Security Number or Tax ID Number on Account
- Email Address.
From the account to be transferred to your Interactive Brokers account:
- Name of Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Account Owner Name(s)
- Account Number.
In addition, for partial transfers:
- Description and quantity of each asset to be transferred.
|
| European Asset Transfer |
From your Interactive Brokers Account Application
- Interactive Brokers Account ID
- User Name
- Account Title
- Account Type
- Address
- Social Security Number or Tax ID Number on Account (US residents only).
From the account to be transferred to your Interactive Brokers account:
- Name of Bank/Brokerage Firm Currently Holding Your Account
- Address
- City/State/Zip
- Name of Contact Person at Bank/Broker
- Account Owner Name(s)
- Account Number.
For partial transfers:
- Symbol, Description, Quantity, and ISIN number of each asset to be transferred
|
| Asian Asset Transfer |
- Summary and country of origin/exchange of each asset to transfer
|
What You Need - Application
In addition to your name, address and phone number, you will need the following information to complete the Non-Professional Advisor Account Application:
| Individual |
Partnership, Corporation, Limited Liability Company and Unincorporated Business
Everything from Individual column plus the following: |
- US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
- Your employer name, address and phone number.
- Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.
- Estimated Net Worth (excluding value of residence).
- Estimated Liquid Net Worth (excluding value of residence).
- Annual Net Income.
- Total Assets.
|
- Entity's Tax or Government-Issued Identification Number.
- US Tax Classification (Partnership, Corporation, Disregarded Entity).
- Controlling Officer name, address, phone number, US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
For each 10% or greater shareholder:
- Name
- Date of birth
- Address
- Phone
- Country of Citizenship or formation if entity
- Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
|
What You Need – Documents (Non-Professional Advisor Applicants in Canada)
Non-Professional Advisor Accounts
Documents Required for Canadian Family Advisors
- One Canadian dollar check made payable to Interactive Brokers Canada;
- Customer Agreement;
- Shareholders Communications Instruction Forms B & C;
- Client Consent to Electronic Delivery of Documents;
- Where applicable:
- Corporate Resolution;
- Articles of Incorporation;
- Partnership Resolution;
- Partnership Agreement.
What You Need - Funding
During the funding step in the account application, you will need to provide us with additional information, which varies depending on the funding method you choose.
| Funding Method |
What You Need |
| Deposit Notifications: Notifications only and do not actually transfer money or positions. If you select one of these deposit methods, you are responsible for initiating the actual transfer of funds. |
| Wire Transfer |
- Amount of intended deposit;
- Bank Name;
- Bank Account Number (optional).
|
| Bank ACH Transfer from Your Bank |
- Amount of intended deposit;
- Bank Name.
|
| Online Bill Payment |
- Amount of intended deposit;
- Bank Name.
|
| Free of Payment (FOP) |
- Name of Third-Party Bank or Broker;
- Third-Party Bank or Broker Account Number;
- Symbol, Number of Shares, and Exchange (optional) of each Stock to transfer;
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer;
- CUSIP Number and Aggregate Face Value of each US Bond to transfer.
|
| Instruct IBKR to contact your bank or broker to transfer funds and/or assets: If you select one of these methods, money and and/or positions are transferred. |
| Automatic Bank ACH Transfer |
- Bank Account Number;
- Bank Account Type (Checking or Savings);
- Bank's 9-digit routing number.
|
| Automated Customer Account Transfer Service |
- Name of Third-Party Bank or Broker;
- Third-Party Bank or Broker Account Number.
In addition, for partial ACATS transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or US Mutual Fund to transfer;
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer;
- CUSIP Number and Aggregate Face Value of each US Bond to transfer;
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option to transfer.
|
| Account Transfer on Notification (ATON) |
- Name of Third-Party Bank or Broker;
- Third-Party Bank or Broker Account Number.
In addition, for partial ATON transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or Canadian Stock to transfer;
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer;
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option and/or Canadian Option to transfer.
|
| US Futures Asset Transfer |
From your Interactive Brokers Account Application:
- Interactive Brokers Account ID;
- User Name;
- Account Title;
- Address;
- Social Security Number or Tax ID Number on Account;
- Email Address.
From the account to be transferred to your Interactive Brokers account:
- Name of Brokerage Firm Currently Holding Your Account;
- Address;
- City/State/Zip;
- Account Owner Name(s);
- Account Number.
In addition, for partial transfers:
- Description and quantity of each asset to be transferred.
|
| European Asset Transfer |
From your Interactive Brokers Account Application
- Interactive Brokers Account ID;
- User Name;
- Account Title;
- Account Type;
- Address;
- Social Security Number or Tax ID Number on Account (US residents only).
From the account to be transferred to your Interactive Brokers account:
- Name of Bank/Brokerage Firm Currently Holding Your Account;
- Address;
- City/State/Zip;
- Name of Contact Person at Bank/Broker;
- Account Owner Name(s);
- Account Number.
For partial transfers:
- Symbol, Description, Quantity, and ISIN number of each asset to be transferred.
|
| Asian Asset Transfer |
- Summary and country of origin/exchange of each asset to transfer.
|
What You Need - Application
In addition to your name, address and phone number, you will need the following information to complete the Non-Professional Advisor Account Application:
| Individual |
Partnership, Corporation, Limited Liability Company and Unincorporated Business
Everything from Individual column plus the following: |
- US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
- Your employer name, address and phone number.
- Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.
- Estimated Net Worth (excluding value of residence).
- Estimated Liquid Net Worth (excluding value of residence).
- Annual Net Income.
- Total Assets.
|
- Entity's Tax or Government-Issued Identification Number.
- US Tax Classification (Partnership, Corporation, Disregarded Entity).
- Controlling Officer name, address, phone number, US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
For each 10% or greater shareholder:
- Name
- Date of birth
- Address
- Phone
- Country of Citizenship or formation if entity
- Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
|
What You Need – Documents (All Other Non-Professional Advisor Applicants)
Non-US Residents
Depending on your country of residence, you may be asked to provide the documents listed below.
| Document Category |
Acceptable Documents (only one document per category is needed) |
Proof of your identity and date of birth
The document must include your name, date of birth and a photograph and clearly state the identification number that you provided in your application. |
- Passport;
- National Identity Card;
- Driver's License;
- Alien Identification Card.
|
Proof of your address
The document must clearly list the customer name and the address being verified. |
- Mortgage Statement, Deed or Other Evidence of Property;
- Current Lease;
- Utility Bill (less than 12 months old);
- Current Driver’s License
- But if you used driver’s license as proof of identity,
then we are required to obtain a second, different document for
proof of address (i.e., driver’s
license cannot be used again);
- Bank Statement, Bank-Issued Credit Card Statement or Bank-Issued Debit Card Statement or Signed Letter from Bank-on-Bank Letterhead Confirming Address
- Customer and bank must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Statement must be less than 12 months old;
- Brokerage Statement from a U.S.-Registered Broker Dealer or Foreign Affiliate of a U.S.-Registered Broker Dealer
- Customer must be from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org);
- Statement must be less than 12 months old;
- Current Homeowner’s or Renter’s Policy Documents or Riders
- Policy must be currently in effect;
- Bill for Homeowner’s or Renter’s Insurance Policy (less than 12 months old);
- Security System Bill/Statement (less than 12 months old); or
- Government-Issued Letters or Statements Establishing Current Address (less than 12 months old). Examples include:
- Tax Letters and notices;
- Letters or notices from government housing authorities;
- Jury duty notices;
- Voter registration notices;
- Other official government letters or notices showing customer name and address being verified.
ADDITIONAL DOCUMENTS THAT CAN BE USED FOR MAINLAND CHINA ACCOUNTS ONLY:
If you are unable to produce any of the above, you may instead provide the following as proof of an address in China:
- Copy of bank account passbook
- Must be issued in last 12 months or show some transaction in last 12 months;
- Mobile phone bill (less than 12 months old);
- Hukou showing current address.
|
What You Need - Funding
During the funding step in the account application, you will need to provide us with additional information, which varies depending on the funding method you choose.
| Funding Method |
What You Need |
| Deposit Notifications: Notifications only and do not actually transfer money or positions. If you select one of these deposit methods, you are responsible for initiating the actual transfer of funds. |
| Wire Transfer |
- Amount of intended deposit;
- Bank Name;
- Bank Account Number (optional).
|
| Bank ACH Transfer from Your Bank |
- Amount of intended deposit;
- Bank Name.
|
| Check |
- Amount of intended deposit;
- Check Number;
- Bank Routing Number;
- Bank Account Number.
|
| Online Bill Payment |
- Amount of intended deposit;
- Bank Name.
|
| Free of Payment (FOP) |
- Name of Third-Party Bank or Broker;
- Third-Party Bank or Broker Account Number;
- Symbol, Number of Shares, and Exchange (optional) of each Stock to transfer;
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer;
- CUSIP Number and Aggregate Face Value of each US Bond to transfer.
|
| Instruct IBKR to contact your bank or broker to transfer funds and/or assets: If you select one of these methods, money and and/or positions are transferred. |
| Automatic Bank ACH Transfer |
- Bank Account Number;
- Bank Account Type (Checking or Savings);
- Bank's 9-digit routing number.
|
| Automated Customer Account Transfer Service |
- Name of Third-Party Bank or Broker;
- Third-Party Bank or Broker Account Number.
In addition, for partial ACATS transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or US Mutual Fund to transfer;
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer;
- CUSIP Number and Aggregate Face Value of each US Bond to transfer;
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option to transfer.
|
| Account Transfer on Notification (ATON) |
- Name of Third-Party Bank or Broker;
- Third-Party Bank or Broker Account Number.
In addition, for partial ATON transfers:
- Symbol, Number of Shares, and Exchange (optional) of each Stock and/or Canadian Stock to transfer;
- Symbol, Number of Shares, Strike (optional), Put/Call (optional), and Expiration Date (optional) of each Warrant to transfer;
- Underlying Symbol, Number of Contracts, Position (long or short), Strike, Put or Call, and Expiration Date of each Option and/or Canadian Option to transfer.
|
| US Futures Asset Transfer |
From your Interactive Brokers Account Application:
- Interactive Brokers Account ID;
- User Name;
- Account Title;
- Address;
- Social Security Number or Tax ID Number on Account;
- Email Address.
From the account to be transferred to your Interactive Brokers account:
- Name of Brokerage Firm Currently Holding Your Account;
- Address;
- City/State/Zip;
- Account Owner Name(s);
- Account Number.
In addition, for partial transfers:
- Description and quantity of each asset to be transferred.
|
| European Asset Transfer |
From your Interactive Brokers Account Application
- Interactive Brokers Account ID;
- User Name;
- Account Title;
- Account Type;
- Address;
- Social Security Number or Tax ID Number on Account (US residents only).
From the account to be transferred to your Interactive Brokers account:
- Name of Bank/Brokerage Firm Currently Holding Your Account;
- Address;
- City/State/Zip;
- Name of Contact Person at Bank/Broker;
- Account Owner Name(s);
- Account Number.
For partial transfers:
- Symbol, Description, Quantity, and ISIN number of each asset to be transferred.
|
| Asian Asset Transfer |
- Summary and country of origin/exchange of each asset to transfer.
|