Which documents are required for the proof of address

What do you need to open an account?

What do you need to open an account?


In addition to your name, address and telephone number, the following information is required to complete the application for a brokerage account:


Partnership companies, corporations, limited liability companies and companies without their own legal personality
  • SEC identification number, FINRA market participant ID for OATS reporting, NFA identification number (as applicable);
  • Exchanges of which you are a member;
  • Estimated number of retail customer accounts and institutional customer accounts;
  • Estimated total customer loss and profit, expressed in US dollars;
  • Your tax identification number;
  • Social Security number or identification number for non-US citizens (driver's license, foreign resident identification document, passport, or ID card);
  • Name, address, telephone number, US Social Security number or, for a non-US citizen, controlling officer identification number (driver's license, foreign resident identification document, passport or ID card).
  • Estimated net worth (excluding value of residence)
  • Estimated net liquid assets (excluding value of residence)
  • Annual net income
  • Total assets
  • Account numbers of bank or third-party broker accounts for deposits, as well as the routing number for check deposits

For each owner of ownership of 10% or more:

  • Surname
  • Date of birth
  • address
  • Phone number
  • Country of citizenship or incorporation
  • U.S. Social Security number or, for non-U.S. Citizens, an ID number (driver's license, foreign resident ID, passport, or ID card)



Required Documents


In addition to the information required to complete the broker account opening application, you will be asked to submit the following documents.


Broker account applicant
Document categoryEligible documents (only one document per category required)
Proof of existence of the company
The document must clearly bear the name of your company.
  • Articles of Association
  • Certificate of incorporation of the company (charter)
  • Partnership agreement
  • Government issued business license
  • Government issued Certificate of Good Standing issued by the country in which the organization was incorporated.
Proof of address of your company
The document must clearly show the name of the customer and the address to be verified.
  • Real estate loan statement, notarial deed or other evidence of the property
  • Current rental / lease agreement
  • Service charges (less than 12 months old)
  • Current driver's license
    • If you use your driver's license as proof of identity, you will need to provide another, second document as proof of address (i.e. the driver's license cannot be used again for this purpose).
  • Bank account statement, credit card statement issued by a bank or EC / debit card statement issued by a bank, or a letter signed on behalf of the bank on their official business letterhead
    • The customer and the bank must come from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org).
    • The account statement or billing must be less than 12 months old.
  • A deposit statement from a US-registered broker-dealer or a foreign affiliate of a US-registered broker-dealer
    • The customer must come from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org).
    • The account statement or billing must be less than 12 months old.
  • Current insurance policy or additional insurance (building / household insurance) of the owner or tenant
    • The policy must be currently valid.
  • Invoice for an insurance policy of the property owner or tenant (less than 12 months old)
  • Invoice / billing for an alarm system (less than 12 months old)
  • Letter / certificate from a government agency proving current address (less than 12 months old) Examples:
    • Tax notifications
    • Letter from the state housing authorities
    • Summons to serve as a juror
    • Election notifications
    • Any other letter or certificate from a government agency that clearly identifies the customer's name and address
Tax identification number or government issued company ID number
  • US or other federally issued tax form · Financial report
  • Other government issued document
Financial reports
  • The company's most current audited financial report. If your company is not required to have audited financial reports, you can provide unaudited reports.
Regulatory financial reports
  • If you are a US broker, the company's FOCUS report is required for each of the past 12 months;
  • If you are a non-US broker, other monthly financial reports are required. If you are a non-US broker, you are not required to submit monthly financial reports. Instead, please provide a letter on the company's own letterhead signed by a director of the company.
Company disciplinary history
  • A copy of the disciplinary history of the company and its directors, including any enforcement action, disciplinary action or other regulatory measures and settlement agreements that affect the company and its directors;
  • If the company does not have a disciplinary history, you may submit a written statement on company letterhead signed by a director of the company stating that neither the company nor its directors have ever been the subject of any disciplinary history or any enforcement proceedings.
Proof of identity of any natural person or corporation that is a 10% owner
  • If the owner is a natural person, a copy of the passport, driver's license, identity card or identity document for foreign residents must be provided;
  • For a corporation, the certificate of incorporation, articles of association / charter, partnership agreement, state business license or a state-issued solvency certificate must be submitted.
Proof of address of every 10% owner
  • Real estate loan statement, notarial deed or other evidence of the property
  • Current rental / lease agreement
  • Service billing (less than 12 months old)
  • Current driver's license
    • If you use your driver's license as proof of identity, you will need to provide another, second document as proof of address (i.e. the driver's license cannot be used again for this purpose).
  • Bank account statement, credit card statement issued by a bank or EC / debit card statement issued by a bank, or a letter signed on behalf of the bank on their official business letterhead
    • The customer and the bank must come from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org).
    • The account statement or billing must be less than 12 months old.
  • A deposit statement from a US-registered broker-dealer or a foreign affiliate of a US-registered broker-dealer
    • The customer must come from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org).
    • The account statement or billing must be less than 12 months old.
  • Current insurance policy or additional insurance (building / household insurance) of the owner or tenant
    • The policy must be currently valid.
  • Invoice for an insurance policy of the property owner or tenant (less than 12 months old)
  • Invoice / billing for an alarm system (less than 12 months old) or
  • Letter / certificate from a government agency proving current address (less than 12 months old) Examples:
    • Tax notifications
    • Letter from the state housing authorities
    • Summons to serve as a juror
    • Election notifications
    • Other letters or certificates issued by a government agency that clearly identify the customer's name and address



FCM applicant
Document categoryEligible documents (only one document per category required)
Proof of existence of the company
The document must clearly bear the name of your company
  • Articles of Association
  • Certificate of incorporation of the company (charter)
  • Partnership agreement
  • Business license
  • Certificate of Good Standing issued by the country in which the organization was established
  • Business registration
  • Regulatory approval license
Proof of address of the company
The document must clearly show the company's main place of business
  • Real estate loan statement, notarial deed or other evidence of the property
  • Current rental / lease agreement
  • Service billing (less than 12 months old)
  • Current driver's license
    • If you use your driver's license as proof of identity, you will need to provide another, second document as proof of address (i.e. the driver's license cannot be used again for this purpose).
  • Bank account statement, credit card statement issued by a bank or EC / debit card statement issued by a bank, or a letter signed on behalf of the bank on their official business letterhead
    • The customer and the bank must come from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org).
    • The account statement or billing must be less than 12 months old.
  • A deposit statement from a US-registered broker-dealer or a foreign affiliate of a US-registered broker-dealer
    • The 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).
    • The account statement or billing must be less than 12 months old.
  • Current insurance policy or additional insurance (building / household insurance) of the owner or tenant
    • The policy must be currently valid.
  • Invoice for an insurance policy of the property owner or tenant (less than 12 months old)
  • Invoice / billing for an alarm system (less than 12 months old) or
  • Letter / certificate from a government agency proving current address (less than 12 months old) Examples:
    • Tax notifications
    • Letter from the state housing authorities
    • Summons to serve as a juror
    • Election notifications
    • Other letters or certificates issued by a government agency that clearly identify the customer's name and address
Tax identification number or government issued company ID number
  • US or other federally issued tax form · Financial report
  • Financial report
  • Other government issued document

Note: The identification number provided on any of the documents listed above must match the identification number provided on your online application. Companies that do not have a tax identification number can use their business registration number.

Financial reports
  • The company's most current audited financial report. If your company is not required to have audited financial reports, you can provide unaudited reports.
Regulatory financial reports
  • If you are a non-US broker, please submit monthly financial reports as required by the laws of the country in which you do business. If you are not required to file monthly financial reports, instead provide a letter on company letterhead signed by a company director.
  • If you do not want access to US stocks, all you need to do is submit ONE monthly financial report. This report should be current and cover one of the last three months.
Company disciplinary history
  • A copy of the disciplinary history of the company and its directors, including any enforcement action, disciplinary action or other regulatory measures and settlement agreements that affect the company and its directors;
  • If the company does not have a disciplinary history, you can submit a written statement stating that neither the company nor its directors have ever been the subject of any disciplinary history or any enforcement proceedings. This declaration must contain the company's own letterhead and be signed by a manager of the company.
Proof of identity of any natural person or corporation that is a 10% owner
  • If the owner is a natural person, a copy of the passport, driver's license, ID card or foreign resident ID must be provided. This should contain a photo and ideally a signature;
  • For a corporation, the certificate of incorporation, articles of association / charter, partnership agreement, state business license or a state-issued solvency certificate must be submitted;
  • No proof of identity is required if the owner is a publicly traded company.
Proof of address of every 10% owner
  • Real estate loan statement, notarial deed or other evidence of the property
  • Current rental / lease agreement
  • Service billing (less than 12 months old)
  • Current driver's license
    • If you use your driver's license as proof of identity, you will need to provide another, second document as proof of address (i.e. the driver's license cannot be used again for this purpose).
  • Bank account statement, credit card statement issued by a bank or EC / debit card statement issued by a bank, or a letter signed on behalf of the bank on their official business letterhead
    • The customer and the bank must come from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org).
    • The account statement or billing must be less than 12 months old.
  • A deposit statement from a US-registered broker-dealer or a foreign affiliate of a US-registered broker-dealer
    • The customer must come from a country that is a member of the Financial Action Task Force on Money Laundering (see http://www.fatf-gafi.org).
    • The account statement or billing must be less than 12 months old.
  • Current insurance policy or additional insurance (building / household insurance) of the owner or tenant
    • The policy must be currently valid.
  • Invoice for an insurance policy of the property owner or tenant (less than 12 months old)
  • Invoice / billing for an alarm system (less than 12 months old) or
  • Letter / certificate from a government agency proving current address (less than 12 months old) Examples:
    • Tax notifications
    • Letter from the state housing authorities
    • Summons to serve as a juror
    • Election notifications
    • Any other letter or certificate from a government agency that clearly identifies the customer's name and address



Information Required Regarding Capital Contributions


You can deposit funds into your account in any of the following currencies, regardless of which currency you have selected as the base currency:

  • Australian dollar
  • British pound
  • Canadian dollar
  • Chinese offshore renminbi
  • Czech crown
  • Danish crown
  • Euro
  • Hong Kong dollars
  • Hungarian forint
  • Indian rupee (only for customers with accounts with Interactive Brokers India Pvt.)
  • Israeli shekel
  • Japanese yen
  • Mexican peso
  • Norwegian krone
  • New Zealand dollar
  • Polish zloty
  • Russian ruble
  • Singapore dollar
  • Swedish crown
  • Swiss franc
  • U.S. dollar

As part of the account opening step for making account deposits, we require further information from you, which varies depending on the payment method you have chosen.


Deposit methodRequirements
Deposit Notifications: This is a notification that alone does not result in an actual transfer of funds or positions. If you choose one of these deposit methods, you are responsible for initiating the actual transfer of funds.
Bank Transfer
  • Intended deposit amount
  • name of the bank
  • Bank account number (optional)
Bank ACH transfer from your bank
  • Intended deposit amount
  • name of the bank
check
  • Intended deposit amount
  • Check number
  • Bank code
  • Bank account number
Online bill payment
  • Intended deposit amount
  • name of the bank
Free of Payment (FOP)
  • Name of the external bank / broker
  • Account number of the external bank or third party broker account
  • Symbol, number of shares and stock market (optional) of each share to be transferred
  • Symbol, number of shares, strike price (optional), put / call (optional) and due date (optional) of each warrant to be transferred
  • CUSIP number and aggregate face value of each US bond to be transferred
Instruct IB to contact your bank or broker for the transfer of the funds or assets: if you choose one of these methods, the funds and / or positions will be effectively transferred.
Automatic bank ACH transfer
  • Bank account number
  • Bank account number (check or savings account)
  • 9-digit bank routing number of the bank
Automated Customer Account Transfer Service (ACATS)
  • Name of the external bank / broker
  • Account number of the external bank or third party broker account

Additionally, for partial ACATS transfers:

  • Symbol, number of shares and stock market (optional) of each share to be transferred and / or each US mutual fund share to be transferred
  • Symbol, number of shares, strike price (optional), put / call (optional) and due date (optional) of each warrant to be transferred
  • CUSIP number and aggregate face value of each US bond to be transferred
  • Underlying symbol, number of contracts, position (long or short), strike price, put or call and expiry date of each option to be transferred
Account Transfer on Notification (ATON)
  • Name of the external bank / broker
  • Account number of the external bank or third party broker account

Additionally, for partial ATON transfers:

  • Symbol, number of shares and stock market (optional) of each share and / or Canadian share to be transferred
  • Symbol, number of shares, strike price (optional), put / call (optional) and due date (optional) of each warrant to be transferred
  • Underlying symbol, number of contracts, position (long or short), strike price, put or call and expiry date of each option to be transferred and / or Canadian option
Transfer of US futures

From your application to open an Interactive Brokers account:

  • Interactive Brokers Account ID
  • User name
  • Account designation
  • address
  • Social security number or tax identification number for the account
  • E-mail address

To the account to be transferred to your Interactive Brokers account:

  • Name of the brokerage house that has the current account
  • address
  • City / state or federal state / zip code
  • Name (s) of the account holder (s)
  • Bank account number

Additionally, for partial transfers:

  • Description and amount of each asset to be transferred
Transfer of European Assets

From your application to open an Interactive Brokers account

  • Interactive Brokers Account ID
  • User name
  • Account designation
  • Account type
  • address
  • Social Security or Tax ID number associated with the account (US residents only)

To the account to be transferred to your Interactive Brokers account:

  • Name of the bank / brokerage house that has your current account
  • address
  • City / state or federal state / zip code
  • Name of a contact person at the bank / broker
  • Name (s) of the account holder (s)
  • Bank account number

For partial transfers:

  • Symbol, description, quantity and ISIN number for each asset to be transferred
Asian Assets Transfer
  • Summary and country of origin / stock exchange for each asset to be transferred

What do you need to open an account?


In addition to your name, address and telephone number, the following information is required to complete the application for a brokerage account:


Partnership or corporation
  • Exchanges of which you are a member;
  • Estimated number of retail customer accounts and institutional customer accounts;
  • Estimated total customer loss and profit, expressed in US dollars;
  • Your tax identification number;
  • Estimated net worth (excluding value of residence)
  • Estimated net liquid assets (excluding value of residence)
  • Annual net income
  • Total assets
  • Account numbers of bank or third party broker accounts for deposit purposes.



Required Documents


In addition to the information required to complete the broker account opening application, you will be asked to submit the following documents.


Broker account applicant
Document categoryEligible documents (only one document per category required)
Proof of existence of the company
The document must clearly bear the name of your company.
  • Articles of association;
  • Partnership agreement;
Tax identification number or government issued company ID number
  • Canadian or other government issued tax form · Financial report;
  • Other government issued document.
Financial reports
  • The company's most current audited financial reports.
Regulatory financial reports
  • A copy of the most recent annual questionnaire or Form 1 submitted to the Investment Industry Regulatory Organization of Canada (IIROC) within the past 12 months.
Company disciplinary history
  • A copy of the disciplinary history of the company and its directors, including any enforcement action, disciplinary action or other regulatory measures and settlement agreements that affect the company and its directors;
  • If the company does not have a disciplinary history, you may submit a written statement on company letterhead signed by a director of the company stating that neither the company nor its directors have ever been the subject of any disciplinary history or any enforcement proceedings.



Information Required Regarding Capital Contributions


As part of the account opening step for making account deposits, we require further information from you, which varies depending on the payment method you have chosen.


Deposit methodRequirements
Bank Transfer
  • Intended deposit amount
  • name of the bank
  • Bank account number (optional)
Bill payment for Canada
  • Intended deposit amount
  • name of the bank
Canadian EFTs
  • The three-digit institutional code of your bank;
  • The five-digit bank transit number and
  • Your bank account number

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