See below for the forms that you will need to open a new account with either Ameritrade Advisor Services or with Fidelity Investments.  Depending on the type of account you are opening, you need to fill out, sign, and return at least:

1.) Appropriate New Account Form below, and
2.) Investment Management Agreement from prior page. 

You may also need to

3.) fill in a transfer form if you wish to initiate a direct transfer of  securities or cash from another brokerage account.  Alternatively, if you have a 401k or other qualified retirement plan from a former employer, you will need to contact the employer and ask them how you can request a direct rollover (usually they will send you a form to do this)

Ameritrade Advisor Services Forms

     Standard New Account Application Form

     IRA New Account Application Form

     Specialty Account Application (e.g. Trusts, Keogh & Pension Plans, etc.)
    (Note: For new solo 401k, or profit sharing plans, you may also need prototype
     plan and adoption agreements from Trustar Retirement Services - once on their
     website, click on "Planning Tools" and then "Applications and Forms").

     Trustee Certification of Trustee Powers

     (Note: only needed for Trust Accounts - send with above Specialty Application)

     Fee Payment and Limited Trading Authorization Form

     External Transfer Form (into Ameritrade from another firm)

     Internal Transfer Form (Transfers between existing Ameritrade Accounts)

Fidelity Investments Forms

     Standard New Account Application Form (Includes Trust Accounts)

     IRA New Account Application Form

     Pension and Benefit Plan Account Application

     Business Entity (Partnership, LLC, Corporation) Account Application

     Fee Payment and Limited Trading Authorization Form

     External Securities Transfer Form

Note: Note, sample forms above are provided in Adobe PDF format (download the Free PDF reader from www.adobe.com).

Please send the signed forms to us by fax or mail along with your other paperwork, do not send new account forms directly to the Custodian because we like to keep copies in your file and make sure the process goes smoothly. 

Once the new account(s) are opened by the custodian, we will contact you with your new account information.  Please do not send any checks or cash to The Ridgewood Group as we do not take custody of client funds.  Instead, all funds and deposits should be mailed or wired directly to your custodian.  Click here for detailed mail or wire instructions for both Ameritrade and Fidelity.

If you have questions regarding the above process or our services, please call us at 973-544-6970.  If you require assistance or would like to being immediately, we can open new accounts online and send you completed applications for your signature (contact us if you would like to do this).

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