Goldman Sachs
Depending on the account type and other factors, additional documents may be required. The forms referenced below are the most common.
FINRA Member Approval Form
- Required when a representative employed by a broker-dealer opens their own Freedom account(s), or if a person who lives with a representative opens account(s) at Freedom.
- Requires the Compliance Officer at the representative’s broker-dealer to approve or deny authorization for the representative to maintain the account. If requested, the Compliance Officer will be given access to the representative’s account on the Folio site for monitoring.
- Accounts requiring this form will remain restricted from all trades until it is received in good order.
Employee & Employer Certification (SIMPLE) Form
- Required for all SIMPLE IRA accounts.
- Used to verify the employer and employee information.
- Accounts requiring this form will remain restricted from all trades until it is received in good order.
Inherited IRA Account Amendment Form
- Required for all Beneficiary (Inherited) IRA accounts.
- Used to verify the decedent’s account information.
- If this form is not submitted before the account is funded, Folio will require a copy of a statement from the previous account to verify that all assets received are inherited assets.
Supplemental Entity Information Form
- Required for all Corporate accounts.
- Used to provide the requested information for all "Beneficial Owners" and "Control Persons" associated with a legal entity opening a brokerage account.
- Accounts requiring this form will remain restricted from all trades until it is received in good order.
For Financial Advisor Use Only. Not for Distribution.