Politically Exposed Person (PEP) Client QuestionnaireInstructions: Please complete a separate questionnaire for each joint applicant, if applicable. For non. S. residents: A clear copy of a valid,.
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How to fill out the TradeStation Politically Exposed Person (PEP) Client Questionnaire online
Completing the TradeStation Politically Exposed Person (PEP) Client Questionnaire is essential for compliance and transparency. This guide will provide you with step-by-step instructions to efficiently fill out the questionnaire online.
Follow the steps to complete your PEP Client Questionnaire online.
- Press the ‘Get Form’ button to access the TradeStation Politically Exposed Person (PEP) Client Questionnaire and open it in the editor.
- Start by entering your full legal name as it appears on your passport in the designated field. If you are known by any other name, indicate 'Yes' and provide the additional name(s).
- Answer whether you have been categorized as a ‘PEP’ by any financial institution by selecting 'Yes', 'No', or 'Don’t know'. If applicable, provide an explanation.
- Indicate if you hold a majority interest in any business entity. If yes, include the company name, location, and your percentage of interest.
- If you have an interest in a trust, confirm by selecting 'Yes' and complete the necessary sections regarding trust details, including the name, type of interest, and percentage.
- Choose the type of brokerage account you wish to open by selecting either ‘Equities’ or ‘Futures’.
- Select your primary investment strategy among the options provided, such as 'Long Term', 'Swing Trading', or 'Day Trading' and provide an explanation if 'Other' is selected.
- Fill in your anticipated initial deposit amount in USD.
- Provide your annual income in USD.
- Enter your total net worth in USD.
- Input your liquid net worth in USD.
- Indicate all sources of your income from the checklist, including 'Salary', 'Savings', or 'Investment Proceeds'.
- Select all sources of your wealth from the options provided. If you select 'Other', please specify.
- Complete the section regarding yourself, immediate family members, or associates who qualify as PEPs, providing details as required.
- List all banking or brokerage institutions that will be used for funding, including firm names, locations, account titles, and account numbers.
- Answer if you or your immediate family members have traveled to any OFAC-restricted or sanctioned countries and provide the requested details.
- Finally, sign and date the form where indicated. Ensure all fields are completed accurately.
Complete your TradeStation PEP Client Questionnaire online today for a smooth and compliant onboarding process.
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