What You Need for the Application

What You Need - Application


In addition to names, addresses and phone numbers, you will need the following information to complete the Small Business Account Application:


Partnership, Corporation, and Unincorporated Business Limited Liability Corporation
Everything from Partnership, Corporation and Unincorporated Business column plus the following:
  • Tax Identification Number for the entity.
  • US Social Security Number, or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
  • 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).
  • Estimated Net Worth (excluding value of residence).
  • Estimated Liquid Net Worth (excluding value of residence).
  • Annual Net Income.
  • Total Assets.
  • Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.

For each 10% or greater shareholder:

  • Name
  • Date of birth
  • Address
  • Phone
  • Country of Citizenship or formation if entity
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
  • US Tax Classification (Partnership, Corporation, Disregarded Entity).



What You Need - Documents (Small Business Applicants in the US)


In addition to the information that you will need to complete the application, you will be asked to provide the documents listed below.


Jump to a section:

Corporations, Partnership or Limited Liability Companies
Unincorporated Businesses


Corporations, Partnership or Limited Liability Companies
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 the Firm's Controlling Officer

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 Identity/existence for each Individual or Entity that has an Ownership of 10% or more in Firm

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 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 the Firm's Controlling Officer and each Individual or Entity that has an Ownership Interest of 10% or More in the Firm

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 Authority of the Firm to Trade on Margin

The document must be a valid, final version that clearly states the firm is authorized to trade on margin, and is not in an editable format.

* Please circle the authorization language.

If the Firm is a Foreign Bank

Please complete and submit BOTH of these documents below:

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



Unincorporated Businesses
Document Category Acceptable Documents (only one document per category is needed)
Proof of the Identity of the Person Opening the Account on Behalf of the Business

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
  • Natonal ID Card
  • Other Government-Issued ID Card (i.e. US State ID Card, Visa, Alien Registration ID Card, Green Card, etc.)
Proof of the Address of the Person Opening the Account on Behalf of the Business

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 Authority of the Business to Trade on Margin

The document must be a valid, final version that clearly states the firm is authorized to trade on margin, and is not in an editable format.

*Please circle the authorization language.

If the Business is a Foreign Bank:

Please complete and submit BOTH of these documents below:

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



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
  • Russian Ruble
  • 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 IB 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 actually 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 Small Business Account Application:


Partnership, Corporation, Limited Liability Corporation and Unincorporated Business
  • Small Business Tax Identification Number;
  • US Tax Classification (Partnership, Corporation, Disregarded Entity);
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card);
  • 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).

If the entity is NOT a U.S. publicly-traded company or registered with a U.S. financial regulatory agency, then for each 10% or greater shareholder:

  • Name;
  • Date of birth;
  • Address;
  • Phone;
  • Country of citizenship or formation if entity;
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
  • Estimated Net Worth (excluding value of residence);
  • Estimated Liquid Net Worth (excluding value of residence).
  • Annual Net Income;
  • Total Assets;
  • Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.



What You Need – Documents (Small Business Applicants in Canada)


In addition to the information that you will need to complete the application, you will be asked to provide the documents listed below.


Canadian Small Businesses
Document Category Acceptable Documents (only one document per category is needed)
Proof of your firm's existence
The document must clearly state the name of your firm.
  • Articles of Incorporation;
  • Company Charter;
  • Partnership Agreement;
  • Trust Agreement;
  • Certificate of Status or Certificate of Good Standing from the Jurisdiction of Incorporation;
  • If a fund, the fund's Offering Document.
Proof of your firm's address
The document must clearly state your firm's principal place of business. If your firm is a fund, click here for alternative proof of address requirements.
  • Utility Bill (must be less than one year old);
  • Lease;
  • Mortgage Statement, Deed or other Evidence of Ownership of the Property;
  • Any of the documents listed above that is not being submitted as proof of your firm's existence;
  • Bank Statement (must be less than six months old).
Proof of the identity (name) of ALL the firm's directors and proof of the identity of the controlling officer and each individual or entity that has an ownership of 10% or more in firm
  • If the owner is a corporation, the Govt-Issued Notice of Directors or Notice of Change in Directors;
  • Articles of Incorporation;
  • If the owner is an individual, a $1.00 check payable to Interactive Brokers Canada Inc.
  • If the owner is an entity, a $1.00 check payable to Interactive Brokers Canada Inc. from each 10% owner of such 10% entity. Also, if the owner is an entity, the entity's articles of incorporation, company charter, partnership agreement, trust agreement, govt-issued certificate of status or certificate of good standing.
Proof of the address of the firm's controlling officer and each individual or entity that has an ownership interest of 10% or more in the firm
  • Utility Bill (must be less than one year old);
  • Lease;
  • Mortgage Statement, Deed or other Evidence of Ownership of the Property;
  • Any of the documents listed above that is not submitted as proof of the owner's existence;
  • Bank Statement (must be less than six months old).
Proof of the authority of the firm to trade on margin
  • Corporate Charter;
  • Bylaws;
  • Corporate Resolution.
Description of nature of business
The documents must clearly state the nature and purpose of the firm’s business.
  • Articles of Incorporation;
  • Government-Issued Business License;
  • Corporate Charter;
  • Bylaws;
  • Corporate Resolution (Please circle the section the business description is referenced).



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 IB 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 actually 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 Small Business Account Application:


Partnership, Corporation, Limited Liability Corporation and Unincorporated Business
  • Small Business Tax Identification Number;
  • US Tax Classification (Partnership, Corporation, Disregarded Entity);
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card);
  • 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).

If the entity is NOT a U.S. publicly-traded company or registered with a U.S. financial regulatory agency, then for each 10% or greater shareholder:

  • Name;
  • Date of birth;
  • Address;
  • Phone;
  • Country of citizenship or formation if entity;
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
  • Estimated Net Worth (excluding value of residence);
  • Estimated Liquid Net Worth (excluding value of residence).
  • Annual Net Income;
  • Total Assets;
  • Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.



What You Need – Documents (Small Business Applicants in Europe)


In addition to the information that you will need to complete the application, you will be asked to provide the documents listed below.


Jump to a section:

Corporate Accounts - EU Credit or Financial Small Business
Corporate Accounts - Non-EU Credit or Financial Small Business
Corporate Accounts - Quoted Company
Corporate Accounts - Private Company
Partnership/Unincorporated Business Account


Corporate Accounts - EU Credit or Financial Small Business
Document Category Acceptable Documents (only one document per category is needed)
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other Company Document:
    Articles of incorporation, lease agreement which shows the company’s current address.
Proof of Authority
For EACH individual having the authority to trade on behalf of the company.
  • Board resolution which grants the authority to the trader;
  • Other company document which grants the authority to the trader.
Proof of Identity
for CEO and for EACH TRADER.
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
for CEO and for EACH TRADER.
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address;
    Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease, agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

Note:

Interactive Brokers (U.K.) Limited reserves the right to request additional documents in situations where the documents listed above are insufficient to complete our process of due diligence.


All documents must be legible. It is advised to use the "enlarge copy" option when making copies of documents on scanners or copy machines.

You may SEND documents either:

via Fax: 0041 41 726 9599

OR

via Email: as scanned documents to: newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).

Please note that your application for an IB UK account cannot be approved until these documents have been received and reviewed by IB UK. If you have any questions regarding the documents required to open an IB UK account, please contact our New Accounts Department via e-mail at newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).




Corporate Accounts - Non-EU Credit or Financial Small Business
Document Category Acceptable Documents (only one document per category is needed)
Proof of Evidence
  • Company's license or authorization to conduct financial business;
    If the company’s regulated status is not indicated, please provide appropriate evidence.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other Company Document:
    Articles of incorporation, lease agreement which shows the company’s current address.
Proof of Authority
For EACH individual having the authority to trade on behalf of the company.
  • Board resolution which grants the authority to the trader;
  • Other company document which grants the authority to the trader.
Proof of Identity
for CEO and for EACH TRADER.
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
for CEO and for EACH TRADER.
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

Note

Interactive Brokers (U.K.) Limited reserves the right to request additional documents in situations where the documents listed above are insufficient to complete our process of due diligence.


All documents must be legible. It is advised to use the "enlarge copy" option when making copies of documents on scanners or copy machines.

You may SEND documents either:

via Fax: 0041 41 726 9599

OR

via Email: as scanned documents to: newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).

Please note that your application for an IB UK account cannot be approved until these documents have been received and reviewed by IB UK. If you have any questions regarding the documents required to open an IB UK account, please contact our New Accounts Department via e-mail at newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).


For Non-EU/FATF Financial or Credit Institutions

For each director, principal, shareholder and owner of the company that has a 20% or greater ownership in the company, additional documents are required based on whether:


If director, principal, shareholder or owner is an individual non-UK resident
Document Category Acceptable Documents (only one document per category is needed)
Proof of Identity
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

If director, principal, shareholder or owner is an individual UK resident
Document Category Acceptable Documents (only one document per category is needed)
Proof of Identity
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • UK Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • UK Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue. Note: If driver’s license is used for proof of identity, it can not also be used as proof of address;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

If shareholder or owner is a regulated credit or financial institution
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name, address and type of institution of the owning company and confirm ownership of the applicant company.
Proof of Evidence
  • Company's license or authorization to conduct financial business. If the company’s regulated status is not indicated, please provide appropriate evidence.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and Show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other company document:
    Articles of incorporation, lease agreement which shows the company’s current place of business address.

If shareholder or owner is a quoted company
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name, address and exchange on which the owning company is quoted and confirm ownership of the applicant company.

If the shareholder or owner is a private company
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name and address of the owning company and confirm ownership of the applicant company.
Proof of Registration
  • Notarized extract from the U.K. Office of the Registrar of Companies (i.e. the “Trade Register”) must be less than six months old;
  • Comparable document from the company's country of origin must be less than six months old.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residence;
  • Other company document:
    Articles of incorporation, lease agreement which shows the company’s current place of business address.

ORGANISATIONS OWNING 20% OR MORE OF A NON- EU/FATF FINANCIAL OR CREDIT INSTITUTION WILL NEED TO PROVIDE DOCUMENTS AS ABOVE UNTIL THE ULTIMATE NATURAL OWNERS (PERSONS) OWNING 20% OR MORE (IF ANY) ARE IDENTIFIED AND THEIR PROOF OF IDENTITY AND RESIDENCY DOCUMENTS HAVE BEEN REQUESTED




Corporate Accounts - Quoted Company
Document Category Acceptable Documents (only one document per category is needed)
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than 6 months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other Company Document:
    Articles of incorporation, lease agreement which shows the company’s current address.
Proof of Authority
For each individual having the authority to trade on behalf of the company.
  • Board resolution which grants the authority to the trader;
  • Other company document which grants the authority to the trader.
Proof of Identity
For EACH TRADER.
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
For EACH TRADER.
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than 6 months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than 6 months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document e.g. rental/ lease, agreement, work permit etc, which show currently valid address and be less than 3 months old which certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

Note

Interactive Brokers (U.K.) Limited reserves the right to request additional documents in situations where the documents listed above are insufficient to complete our process of due diligence.


All documents must be legible. It is advised to use the "enlarge copy" option when making copies of documents on scanners or copy machines.

You may SEND documents either:

via Fax: 0041 41 726 9599

OR

via Email: as scanned documents to: newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).

Please note that your application for an IB UK account cannot be approved until these documents have been received and reviewed by IB UK. If you have any questions regarding the documents required to open an IB UK account, please contact our New Accounts Department via e-mail at newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).




Corporate Accounts - Private Company
Document Category Acceptable Documents (only one document per category is needed)
Proof of Registration
  • Notarized extract from the U.K. Office of the Registrar of Companies (i.e. the “Trade Register”) must be less than six months old;
  • Comparable document from the company's country of origin must be less than six months old.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other company document:
    Articles of incorporation - must show the company’s current address.
Proof of Authority
For EACH individual having the authority to trade on behalf of the company.
  • Board resolution must grant the authority to the trader;
  • Other company document which grants the authority to the trader.
Proof of Identity
for CEO and for EACH TRADER.
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
for CEO and for EACH TRADER.
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

Note

Interactive Brokers (U.K.) Limited reserves the right to request additional documents in situations where the documents listed above are insufficient to complete our process of due diligence.


All documents must be legible. It is advised to use the "enlarge copy" option when making copies of documents on scanners or copy machines.

You may SEND documents either:

via Fax: 0041 41 726 9599

OR

via Email: as scanned documents to: newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).

Please note that your application for an IB UK account cannot be approved until these documents have been received and reviewed by IB UK. If you have any questions regarding the documents required to open an IB UK account, please contact our New Accounts Department via e-mail at newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).


For Private Companies

For each director, principal, shareholder and owner of the company that has a 20% or greater ownership in the company, additional documents are required based on whether:


If director, principal, shareholder or owner is an individual non-UK resident
Document Category Acceptable Documents (only one document per category is needed)
Proof of Identity
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

If director, principal, shareholder or owner is an individual UK resident
Document Category Acceptable Documents (only one document per category is needed)
Proof of Identity
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • UK Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • UK Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue. Note: If driver’s license is used for proof of identity, it can not also be used as proof of address;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

If shareholder or owner is a regulated credit or financial institution
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name, address and type of institution of the owning company and confirm ownership of the applicant company.
Proof of Evidence
  • Company's license or authorization to conduct financial business;
    If the company’s regulated status is not indicated, please provide appropriate evidence.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other company document:
    Articles of incorporation, lease agreement which shows the company’s current place of business address.

If shareholder or owner is a quoted company
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name, address and exchange on which the owning company is quoted and confirm ownership of the applicant company.

If the Shareholder or owner is a private company
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name and address of the owning company and confirm ownership of the applicant company.
Proof of Registration
  • Notarized extract from the U.K. Office of the Registrar of Companies (i.e. the “Trade Register”) must be less than six months old;
  • Comparable document from the company's country of origin must be less than six months old.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other company document:
    Articles of incorporation, lease agreement which shows the company’s current place of business address.

ORGANISATIONS OWNING 20% OR MORE OF A NON- EU/FATF FINANCIAL OR CREDIT INSTITUTION WILL NEED TO PROVIDE DOCUMENTS AS ABOVE UNTIL THE ULTIMATE NATURAL OWNERS (PERSONS) OWNING 20% OR MORE (IF ANY) ARE IDENTIFIED AND THEIR PROOF OF IDENTITY AND RESIDENCY DOCUMENTS HAVE BEEN REQUESTED




Partnership/Unincorporated Business Account
Document Category Acceptable Documents (only one document per category is needed)
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address). Please note: Bills for cell phone service are not valid proof of residency;
  • Other company document:
    Articles of incorporation - must shows the company’s current place of business address.
Proof of Authority
If a formal partnership or unincorporated business arrangements exists.
  • Mandate:
    Must show the opening of and conferring authority to those persons who will undertake transactions on behalf of the partnership or unincorporated business.
Proof of Identity
For Each Partner and for EACH TRADER.
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
For Each Partner and for EACH TRADER.
  • Utility Bill:
    Electricity, water, telephone, gas – the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

Note

Interactive Brokers (U.K.) Limited reserves the right to request additional documents in situations where the documents listed above are insufficient to complete our process of due diligence.


All documents must be legible. It is advised to use the "enlarge copy" option when making copies of documents on scanners or copy machines.

You may SEND documents either:

via Fax: 0041 41 726 9599

OR

via Email: as scanned documents to: newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).

Please note that your application for an IB UK account cannot be approved until these documents have been received and reviewed by IB UK. If you have any questions regarding the documents required to open an IB UK account, please contact our New Accounts Department via e-mail at newaccounts.uk@interactivebrokers.co.uk (Please include your Account ID in the Subject line).


For Partnership/Unincorporated Business Accounts

For each director, principal, shareholder and owner of the company that has a 20% or greater ownership in the company, additional documents are required based on whether:


If director, principal, shareholder or owner is an individual non UK resident
Document Category Acceptable Documents (only one document per category is needed)
Proof of Identity
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • National ID Card:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

If director, principal, shareholder or owner is an individual UK resident
Document Category Acceptable Documents (only one document per category is needed)
Proof of Identity
  • Passport:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue; any visa stamped pages must be included;
  • UK Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • UK Driver’s License:
    Must be currently valid, signed by the account holder and clearly indicate the number, date of expiration, date of birth and country of issue. Note: If driver’s license is used for proof of identity, it can not also be used as proof of address;
  • Bank Statement:
    Must be less than six months old and show the account holder’s full name and address;
  • Notarized Document:
    Must be another document; e.g. rental/lease agreement, work permit, etc; which shows currently valid address and is less than three months old, and certified by a solicitor that he/she has seen the original document; solicitors must provide their full name, address and telephone number.

If shareholder or owner is a regulated credit or financial institution
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name, address and type of institution of the owning company and confirm ownership of the applicant company.
Proof of Evidence
  • Company's license or authorization to conduct financial business;
    If the company’s regulated status is not indicated, please provide appropriate evidence.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other company document:
    Articles of incorporation, lease agreement which shows the company’s current place of business address.

If shareholder or owner is a quoted company
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name, address and exchange on which the owning company is quoted and confirm ownership of the applicant company.

If the shareholder or owner is a private company
Document Category Acceptable Documents (only one document per category is needed)
Company’s Statement
  • Confirmation Letter:
    Must state the name and address of the owning company and confirm ownership of the applicant company.
Proof of Registration
  • Notarized extract from the U.K. Office of the Registrar of Companies (i.e. the “Trade Register”) must be less than six months old;
  • Comparable document from the company's country of origin must be less than six months old.
Proof of Residency
  • Utility Bill:
    Electricity, water, telephone, gas; the bill must be less than six months old and show the account holder’s full name and address. Please note: Bills for cell phone service are not valid proof of residency;
  • Other company document:
    Articles of incorporation, lease agreement which shows the company’s current place of business address.

ORGANISATIONS OWNING 20% OR MORE OF A NON- EU/FATF FINANCIAL OR CREDIT INSTITUTION WILL NEED TO PROVIDE DOCUMENTS AS ABOVE UNTIL THE ULTIMATE NATURAL OWNERS (PERSONS) OWNING 20% OR MORE (IF ANY) ARE IDENTIFIED AND THEIR PROOF OF IDENTITY AND RESIDENCY DOCUMENTS HAVE BEEN REQUESTED




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 IB 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 actually 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 Small Business Account Application:


Partnership, Corporation, Limited Liability Corporation and Unincorporated Business
  • Small Business Tax Identification Number;
  • US Tax Classification (Partnership, Corporation, Disregarded Entity);
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card);
  • 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).

If the entity is NOT a U.S. publicly-traded company or registered with a U.S. financial regulatory agency, then for each 10% or greater shareholder:

  • Name;
  • Date of birth;
  • Address;
  • Phone;
  • Country of citizenship or formation if entity;
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
  • Estimated Net Worth (excluding value of residence);
  • Estimated Liquid Net Worth (excluding value of residence).
  • Annual Net Income;
  • Total Assets;
  • Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.



What You Need – Documents (Small Business Applicants in Japan)


In addition to the information that you will need to complete the application, you will be asked to provide the documents listed below.


Jump to a section:

Japanese Corporations that Want to Trade Japanese Products
Japanese Corporations that Want to Trade All Other Products

Japanese Corporations that Want to Trade Japanese Products
CEO & Controller of Corporate Customers
Document Type Acceptable Documents (only one document per category is needed)
Proof of identity, date of birth, and address

Driver's License

  • Both front and back sides are required;
  • The document must be valid;
  • If the document has a Permanent Address, please hide the field.

Passport

  • Photo and Address pages are required;
  • The document must be valid;
  • If the document has a Permanent Address, please hide the field.

Health Insurance (Card Type)

  • If front side has your residential address, please submit front page only;
  • If front side does not have your residential address, please submit both front and back sides.

Health Insurance (Paper Type)

  • The document must include Name, Address, and Date of Birth.

Alien Registration Card (or Residence Card)

  • Mandatory requirement for Non-Japanese citizens.
  • Both front and back sides are required;
  • The document must be valid.

Certificate of Residence "Jyuminhyo"

The document must be issued within three months. If the document has Permanent Address, please hide the field. The document must include the following information:

  • Name;
  • Address;
  • Date of Birth;
  • Issued Date.

Resident Registration Card

The document must be valid. The document must include the following information:

  • Name;
  • Address;
  • Date of Birth;
  • Issued Date.

Corporate Customers
Document Type Acceptable Documents (only one document per category is needed)
Proof of Existence

Certificate of All Present Matters

  • Original document is required;
  • The document must be issued within three months;
  • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
  • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of All Historical Matters

  • Original document is required;
  • The document must be issued within three months;
  • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
  • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of Registration

  • Original document is required;
  • The document must be issued within three months;
  • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
  • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of Seal Impression

  • Original document is required;
  • The document must be issued within three months.

Note:

Documents that do not have Name, Residential Address, Date of Birth are insufficient. If the submitted documents are missing any of required information or the documents are not clear enough, you will be requested to submit another proof document. If Name or Address registered in your application does not match with the submitted proof documents, IB may not be able to approve your application.

Customer's personal infomration that is not required for the purpose of account opening will be deleted at IB. The necessary information will be properly handled to comply with Personal Information Protection Law.

Email:
newaccounts@interactivebrokers.com
Acceptable format for scanned documents: .gif .tiff .tif .jpeg .jpg .jpe .png .bmp .pdf
Please enter your IB Account Number (UXXXXXX) in email subject.

Fax:
03-4588-9749

Mail:
Interactive Brokers Securities Japan, Inc.
4th Floor Tekko Kaikan
Nihonbashi Kayabacho
Chuo-ku Tokyo 103-0025 Japan
Please allow extra time for processing. Please give us a call after sending by mail.




Japanese Corporations that Want to Trade All Other Products
CEO and Controller of Corporate Customers
Document Category Acceptable Documents (only one document per category is needed)
Proof of identity and date of birth

Driver's License

  • Both front and back sides are required;
  • The document must be valid;
  • If the document has a Permanent Address, please hide the field.

Passport

  • Photo and Address pages are required;
  • The document must be valid;

Alien Registration Card

  • Mandatory requirement for Non-Japanese citizens.
  • Both front and back sides are required;
  • The document must be valid.
Proof of address

Driver's License

  • Both front & back sides are required;
  • The document must be valid;
  • If the document has Permanent Address, please hide the field.

Alien Registration Card

  • Mandatory requirement for Non-Japanese citizens.
  • Both front & back sides are required;
  • The document must be valid.

Certificate of Residence "Jyuminhyo"

The document must include the following information. The document must be issued within three months, if the document has Permanent Address, please hide the field.

  • Name;
  • Address;
  • Date of Birth;
  • Issued Date.

Resident Registration Card

The document must be valid and include the following information.

  • Name;
  • Address;
  • Date of Birth;
  • Issued Date.

Utility Bill

  • Copy of Utility Bills (Electronic, Gas, Water, Landline Phone) are acceptable. Mobile phone bills are not acceptable;
  • The Name and Address in the document must match those in your IBLLC application;
  • The document must be issued within three months.

Bank Statement

  • The document must include Name and Address;
  • The Name and Address in the document must match those in your IBLLC application;
  • 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 three months old and show full name and current address.

Government Issued Letters

  • The document must include Name and Address;
  • The document must be issued within three months.
Corporate Customers
Document Category Acceptable Documents (only one document per category is needed)
Proof of Existence
Please provide two of the following. Please note that one document cannot be used as multiple proof documents.

Articles of Incorporation

  • Copy of original document is required.

Certificate of All Present Matters

  • Copy of original document is required;
  • The document must be issued within three months:
    • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
    • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of All Historical Matters

  • Copy of original document is required;
  • The document must be issued within three months:
    • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
    • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of Registration

  • Copy of original document is required;
  • The document must be issued within three months:
    • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
    • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of Seal Impression

  • Copy of original document is required;
  • The document must be issued within three months.
Proof of Principal Place of Business Address
Please provide one of the following. Please note that one document cannot be used as multiple proof documents.

Certificate of All Present Matters

  • Copy of original document is required;
  • The document must be issued within three months:
    • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
    • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of All Historical Matters

  • Copy of original document is required;
  • The document must be issued within three months:
    • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
    • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of Registration

  • Copy of original document is required;
  • The document must be issued within three months:
    • Extract copy, Certificate of Partial Historical Matters, and Certificate of Partial Present Matters are not acceptable;
    • Please obtain "Certificate of All Historical Matters" or "Certificate of All Present Matters" at Legal Affairs Bureau. Electronic certificates are also acceptable.

Certificate of Seal Impression

  • Copy of original document is required;
  • The document must be issued within three months.

Utility Bill

  • Copy of Utility Bills (Electronic, Gas, Water, Landline Phone) are acceptable. Mobile phone bills are not acceptable;
  • The Name and Address in the document must match those in your IBLLC application.

Bank Statement

  • The document must include Name and Address;
  • The Name and Address in the document must match those in your IBLLC application;
  • 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 three months old and show full name and current address.

Government Issued Letters

  • The document must include Name and Address;
  • The document must be issued within three months.
Proof of Ability to Trade on Margin

Please download the format from here.

Note:

Documents that do not have Name, Residential Address, Date of Birth are insufficient. If the submitted documents are missing any of required information or the documents are not clear enough, you will be requested to submit another proof document. If Name or Address registered in your application does not match with the submitted proof documents, IB may not be able to approve your application.

Customer's personal infomration that is not required for the purpose of account opening will be deleted at IB. The necessary information will be properly handled to comply with Personal Information Protection Law.

Email:
newaccounts@interactivebrokers.com
Acceptable format for scanned documents: .gif .tiff .tif .jpeg .jpg .jpe .png .bmp .pdf
Please enter your IB Account Number (UXXXXXX) in email subject.

Fax:
03-4588-9749

Mail:
Interactive Brokers Securities Japan, Inc.
4th Floor Tekko Kaikan
Nihonbashi Kayabacho
Chuo-ku Tokyo 103-0025 Japan
Please allow extra time for processing. Please give us a call after sending by mail.




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 IB 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 actually 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 Small Business Account Application:


Partnership, Corporation, Limited Liability Corporation and Unincorporated Business
  • Small Business Tax Identification Number;
  • US Tax Classification (Partnership, Corporation, Disregarded Entity);
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card);
  • 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).

If the entity is NOT a U.S. publicly-traded company or registered with a U.S. financial regulatory agency, then for each 10% or greater shareholder:

  • Name;
  • Date of birth;
  • Address;
  • Phone;
  • Country of citizenship or formation if entity;
  • US Social Security Number or ID number if not a US citizen (Driver's License, Alien Identification Card, Passport or National Identity Card).
  • Estimated Net Worth (excluding value of residence);
  • Estimated Liquid Net Worth (excluding value of residence).
  • Annual Net Income;
  • Total Assets;
  • Bank or third-party broker account numbers for funding purposes, plus routing number for check deposits.



What You Need – Documents (Small Business Applicants in Other Countries)


Australian Partnerships, Associations, Registered Cooperatives, and Government Bodies

Download Certified Copy Certificate




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 IB 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 actually 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.