Customer Forms

The files below are provided as a convenience. To open, simply click the form you need and a printable version of the selected document will open for you to use.

If you require any assistance completing these forms, please call us at 800-828-1295 or 704-527-7873.

For specialized forms not listed here, please contact our office.


ACAT Transfer Form

Account Application Supplemental

Account Update Form

Checking Account Application

Corporate Account Certification

Customer Agreement – Privacy Notice

Institutional Account Application

Investment Club Certification

IRA Inherited IRA Adoption Agreement

IRA Inherited Roth IRA Adoption Agreement

IRA Late Rollover Form

IRA Rollover Certification Form

IRA Roth App

IRA Simple App

IRA Distribution Form

IRA Beneficiary Change Form

IRA Traditional IRA Adoption Agreement

LLC Certification

LOA – 3RD Party Distributions

LOA Internal Transfer

Margin Agreement — AXOS Clearing (1 of 2) BOTH REQUIRED

Margin Agreement — Southeast Investments (2 of 2) BOTH REQUIRED

New Account App – AXOS

Option Agreement — AXOS Clearing (1 of 3) ALL REQUIRED

Option Agreement — Southeast Investments A (2 of 3) ALL REQUIRED

Option Agreement — Southeast Investments B (3 of 3) ALL REQUIRED

Partnership Certification

Sole Proprietor Certification

TOD Account Agreement

Trading Authorization Agreement

Trust Certification Form

W-9 — Needed for brokerage accounts


Annuity Disclosure Form

Change of Dealer Form — Annuity

Change of Dealer Form — Mutual Fund

Commission Form

Mutual Fund Switch Letter

New Account Form — Southeast Investments (Use for direct business with mutual funds and variable annuities.)

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