People's Securities - Investments

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At People's Securities, we know your time is valuable and that's why we've made forms available to you online. If you do not see the form you are looking for give us a call at 1-800-392-3009.

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Applications

Forms	Form Description
New Brokerage Account Application - Personal	Use this package to apply for a Personal Brokerage without Margin or Option Trading. Please read the disclosures and customer agreement that are included with the application.
New Brokerage Account Application - Entity	Use this package to apply for an ENTITY Brokerage Account. Please read the disclosures and customer agreement that are included with the application.
New Option & Margin Account Application	Use this package to apply for a Brokerage Account with MARGIN or MARGIN & OPTION TRADING. Please read the disclosures and customer agreements that are included with the application.
Supplemental Application for Margin and Option Privileges	Use this package to ADD MARGIN trading or MARGIN and OPTION trading to you existing brokerage account.

Other Forms

Form Name	Form Description
Customer Agreement	Details the conditions & rules under which your account is governed.
Privacy Notice	Details our policies designed to protect your privacy.
Account Transfer Form	Used to transfer securities from another firm to People's Securities.
Householding Form	Used to have all your non-IRA Retirement accounts mailed together in one envelope.
Add A Joint Accountholder Form	Used to add an owner to an existing account.
Corporate Resolution	Required to open a brokerage account for corporate business entities.
Non-Corporate Resolution	Required to open a brokerage account for non-corporate business entities.
Investment Club Form	Required to establish an Investment Club.
Commission & Fee Schedule	A list of all applicable service and transaction charges.
Transfer on Death Beneficiary Form	Used to name beneficiaries on non-Retirement Accounts.
Third Party Authorization	Use this form to assign trading authority to another person for buys & sells. This authorization is limited to Purchases and Sales of Securities and Options.
Sweep Investment Selection Acknowledgement	Use this form to change the sweep investment selection associated with your brokerage account.
Stock Option Exercise Request and Agreement	Use this form to exercise your stock options.
W-8BEN	Complete this form to certify the foreign status of the beneficial owner for US tax withholding.
Address Change Request	Use this form to change your address.
Sole Ownership Form	Use this form to notify us that a business entity is a sole ownership/proprietorship.
Dividend Reinvestment	Use this form to request that dividends paid on securities be reinvested in those shares.
Fund Transfer Agreement	Use this form to establish an automatic transfer of designated funds to a specific People's United checking or savings account. Please note that the titles on both the brokerage and bank accounts must match.
Margin Agreement	Details the conditions and rules under which your Margin Account is governed in addition to the conditions and rules outlined in the Customer Agreement.
Margin Disclosure	Provides disclosures regarding your Margin Account.
Option Agreement	Details the conditions and rules under which your Margin Account is governed in addition to the conditions and rules outlined in the Customer Agreement.
MMDA Sweep Terms and Conditions Disclosure	Money Market Deposit Account Sweep Terms and Conditions.
Understanding Available Cash Balance Investment Options at People's Securities	This disclosure form provides details regarding understanding the available cash balance investment options at People's Securities.

Please note that new accounts cannot be opened online or by mail. You will need to visit a People's United branch to establish your account.

Investment & Insurance Products:

•Not Insured by FDIC or any Federal Government Agency
•Not a Deposit of or Guaranteed by a Bank or any Bank Affiliate•May Lose Value

Investment products are offered through People’s Securities, Inc., a Broker/Dealer, member of FINRA and SIPC, and a Registered Investment Advisor. People’s Securities, Inc. is a subsidiary of People’s United Bank.

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