Can a resolution be signed electronically?

Yes. Electronic signatures are generally enforceable under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted, provided the signature meets intent, consent, attribution, and retention requirements.

Does the form require notarization?

Not all brokers require notarization. Check the broker’s account-opening checklist; where required, follow state notary rules or use an accepted RON service that meets identity-proofing standards.

What if the signer name doesn’t match records?

Name mismatches can delay acceptance. Provide certified formation documents, a signed affidavit of name variation, or updated corporate records to confirm authority.

How do I revoke or change the resolution?

Adopt a formal board resolution revoking or amending prior authority, notarize if required, and send the revocation to the broker with a certified copy for processing.

How long until the broker updates the account?

Processing commonly takes 1–5 business days after receiving a complete, notarized resolution; complex cases or additional KYC checks can extend this timeframe.

What records should I keep?

Retain originals, certified copies, minutes, and the broker’s acceptance confirmation for at least six years to satisfy SEC broker-dealer recordkeeping and audit requirements.

Electronic Signature
Templates
Miscellaneous
Brokerage Account Resolution Form

Brokerage Account Resolution Form

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

BROKERAGE ACCOUNT RESOLUTION FORM

Company Name:

Entity Type: Corporation LLC Partnership Trust Individual

State or Jurisdiction of Formation: Federal Tax ID / SSN:

WHEREAS

WHEREAS, the board of directors or governing body of the Company (the Company) deems it advisable and in the best interests of the Company to open and maintain one or more accounts (the Account) with the brokerage firm identified below for the purpose of effecting transactions in securities and related instruments; and

WHEREAS, the Company desires to designate and authorize specific individuals to act on behalf of the Company with full power to execute account agreements, enter orders, transfer funds and securities, and otherwise take all actions necessary to establish and operate the Account with the brokerage firm: Brokerage Firm:

WHEREAS, the Company requires written certification of this resolution to be delivered to the brokerage firm and its agents as evidence of authority.

RESOLVED — SCOPE OF AUTHORITY

The Company hereby authorizes the following actions with respect to the Account and related services (collectively, the Authority):

To open, maintain and close brokerage accounts in the name of the Company and to execute and deliver any agreements, acknowledgements, powers of attorney, and documents required by the brokerage firm.
To place orders to buy, sell, exchange, tender or otherwise trade in securities, commodities or other instruments, including the use of margin and options, subject to internal Company policies and applicable law.
To instruct transfers of funds and securities into and out of the Account, including wire transfers, Automated Clearing House transfers, check disbursements, and delivery versus payment transactions.
To grant, modify or revoke limited or full authority to other persons or entities to act on behalf of the Company with respect to the Account.

Scope of Work / Special Instructions

AUTHORIZED SIGNATORIES

The following individuals are designated as Authorized Signatories for the Account. Each listed person is authorized to act individually unless otherwise indicated.

Authorized Person 1 — Full Name Title

Authorities: Trading Withdrawals / Transfers Margin / Leverage

Authorized Person 2 — Full Name Title

Authorities: Trading Withdrawals / Transfers Margin / Leverage

Authorized Person 3 — Full Name Title

Authorities: Trading Withdrawals / Transfers Margin / Leverage

FEES, PAYMENT AND FUNDING

Initial Funding Amount:

Funding Schedule / Instructions:

Brokerage Fees and Commissions shall be governed by the brokerage firm's schedules. The Company agrees to pay fees and charges assessed to the Account. Late payment or insufficient funding may, at the brokerage firm's discretion, result in interest or penalties. Agreed late fee:

TERM AND TERMINATION

This Resolution is effective as of: and shall remain in effect until: unless earlier revoked in writing by the Company pursuant to the notice requirement below.

Notice of termination or revocation shall be delivered in writing to the brokerage firm and shall be effective days after receipt by the brokerage firm, except that the brokerage firm may take such time as it reasonably requires to implement changes to authorizations and transfer instructions.

CONFIDENTIALITY

The Company and the brokerage firm agree that non-public information regarding the Account, account activity, balances and instructions is confidential. The brokerage firm may disclose such information only to persons authorized in this Resolution, to service providers necessary to the provision of brokerage services, or as required by law, regulation or valid subpoena. The Company shall implement internal controls to protect confidential information provided by the brokerage firm.

GOVERNING LAW

This Resolution shall be governed by and construed in accordance with the laws of the state of without regard to principles of conflicts of law.

ENTIRE AGREEMENT; SEVERABILITY

This Resolution constitutes the entire and exclusive written authorization by the Company to the brokerage firm with respect to the matters addressed herein. To the extent any provision of this Resolution is held invalid or unenforceable, the remaining provisions shall remain in full force and effect.

CERTIFICATION

I certify that the foregoing is a true and correct copy of the resolution duly adopted by the governing body of the Company on the date set forth below, that such resolution has not been modified or rescinded and remains in full force and effect, and that the persons named above are authorized to act in accordance with this Resolution.

Resolution Adopted On (date): Meeting Type: Board Meeting Unanimous Written Consent

Company Representative:

By:

Title:

Date:

Corporate Secretary:

By:

Title:

Date:

What the Brokerage Account Resolution Form Is and When It’s Used

A Brokerage Account Resolution Form is a written corporate instrument that documents an entity’s authorization for individuals to open, operate, or transact in a brokerage account on the entity’s behalf. It typically records board or member action, identifies authorized signers, includes specimen signatures, and states any limits on authority. Brokers and custodian firms use the resolution to update account records, accept wire or transfer instructions, and satisfy internal compliance checks and custodial onboarding requirements.

Stepwise completion: prepare, authorize, and submit

Follow these steps to prepare a valid resolution, verify authority, and deliver the document to the broker or custodian for acceptance.

01

Prepare draft: Assemble corporate records and draft resolution language.
02

Board approval: Obtain the board or members’ vote and record minutes.
03

Notarize if required: Sign before a notary or use RON where accepted.
04

Deliver to broker: Send certified copy to the custodian and retain originals.

Configuring an online workflow for faster processing

Map out a digital workflow that captures approvals, authentication, and retention so the broker receives a complete, auditable record.

Field mapping	Map entity name, signer fields, dates, and account number for automatic population.
Signer authentication	Use email + SMS code or KBA depending on broker requirements.
Routing order	Set role-based order: preparer → corporate officer → notary (if needed).
Template reuse	Save a template with conditional fields for recurring resolutions.
Retention policy	Enable secure storage and exportable audit trails for regulator review.

Technical and platform considerations for digital completion

Choose a solution that preserves a tamper-evident audit trail and supports RON or notarization workflows if your broker requires notarized resolutions. Confirm the vendor’s compliance certifications for regulated recordkeeping.

File formats: PDF, DOCX supported
Authentication: Email, SMS, KBA options
Integrations: Salesforce, NetSuite, Google Workspace

Typical online signing flow for a resolution form

A standard online flow reduces turnaround: prepare the document, assign fields, authenticate signers, capture signatures, then deliver final copies and an audit trail to the broker.

Upload: Upload resolution and attachments.
Place fields: Add signature, date, and role fields.
Authenticate: Send secure code or KBA challenge.
Complete: Signer applies signature; system issues certificate.

Time expectations and processing windows to plan for

Processing times vary by broker and whether notarization or additional verification is required. Allow extra time for corporate approvals and third-party notarization.

Board resolution adoption:

Allow 1–14 days depending on meeting scheduling.

Broker processing time:

Typically 1–5 business days after receipt of complete documents.

RON/notary session:

Remote notarization sessions may take 30–90 minutes.

Account changes effective:

Effective once broker completes verification, often within five business days.

Record retention start:

Retention begins on adoption date or document creation.

Key milestones from approval to account activation

Track these numbered milestones to oversee completion and ensure the broker can accept the resolution without follow-up requests.

01

Board Approval

Formal vote recorded in minutes; resolution adopted.

02

Signer Execution

Authorized officers sign in presence of notary if required.

03

Document Delivery

Send originals or notarized copies to the broker.

04

Broker Verification

Broker confirms signatures and updates account records.

Common pitfalls to avoid

Using informal or incomplete resolution language that lacks explicit authority details
Mismatched names between corporate records and signer IDs causing verification delays
Failing to notarize where broker or state law requires notarization
Sending unsigned or partially completed copies that the broker rejects

Consequences and risks of incorrect or incomplete resolutions

Invalid Authority: Transfers reversed

Regulatory Violation: Broker penalties, SEC review

Operational Delay: Account access freezes

Financial Loss: Rejected transactions or missed deadlines

Recordkeeping Failure: Noncompliance with retention rules

Reputational Risk: Client trust erosion

Primary signers and their typical roles

Corporate Treasurer

The Corporate Treasurer typically oversees banking and investment accounts, prepares the resolution for board approval, and acts as a principal signer. They coordinate with legal counsel and the broker to ensure required supporting documents and signatures are provided and documented.

Compliance Officer

A Broker-Dealer or compliance officer reviews the resolution for regulatory completeness, ensures the broker’s KYC/AML checks are satisfied, and confirms retention and audit-trail requirements are met before authorizing account activation.

Who commonly prepares and files these resolutions

The precise mix of participants depends on entity size and complexity; smaller entities often rely on the treasurer and outside counsel, while larger firms use dedicated treasury and compliance teams.

Corporate officers and corporate secretaries who draft and certify resolutions
Broker-dealer onboarding teams and custodial operations that verify authority
Outside counsel or corporate counsel who review authority language and compliance

Essential elements every professional resolution should include

A thorough resolution contains explicit authority language, signer identification, dates, and authentication details so custodians can act without additional documentation.

Authority Clause

Plain-language statement granting specified individuals the power to open, transfer, or close accounts and to execute trade, wire, and transfer instructions on behalf of the entity.

Authorized Signer List

Full legal names, titles, specimen signatures, and any dollar or transaction limits for each authorized person to clarify scope and reduce broker follow-up.

Adoption Record

Resolution adoption date, reference to meeting minutes or unanimous written consent, and the corporate body that approved the action to establish corporate authority.

Notarization Clause

Language confirming signatures were executed before a notary or RON platform when required by the broker or state law, including notary acknowledgment format.

Corporate Identifier

EIN, state of formation, and corporate registration numbers to help match records and validate entity existence during broker verification.

Delivery and Reliance

Statement authorizing the broker to rely on the resolution until revoked in writing and describing acceptable methods of delivering updates or revocations.

Supplementary documents to include with the resolution

Attach supporting records to speed broker acceptance and reduce requests for additional information.

Certified Minutes

A certified copy of the meeting minutes or written consent showing the resolution’s adoption and the vote tally for corporate authenticity.

Formation Documents

Articles of incorporation, operating agreement, or partnership agreement showing current officers, signatory authority, and the entity’s legal name.

EIN Confirmation

IRS EIN issuance letter or recent tax filing showing the employer identification number used to confirm entity identity.

Specimen Signatures

A page with each authorized signer’s printed name and specimen signature for broker comparison at onboarding.

Typical eSignature vendor pricing and capability snapshot

Compare common vendor price points and basic capabilities relevant to preparing and signing brokerage account resolutions. Confirm plan details with each vendor.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies by vendor	Varies by vendor	Varies by vendor	Varies by vendor
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Frequently asked questions about Brokerage Account Resolution Forms

Answers to common questions about acceptance, eSignature validity, notarization, revocation, and signer identity for brokerage resolutions.

Need help? Contact support

Can a resolution be signed electronically?
Yes. Electronic signatures are generally enforceable under the ESIGN Act (15 U.S.C. ch. 96) and UETA where adopted, provided the signature meets intent, consent, attribution, and retention requirements.
Does the form require notarization?
Not all brokers require notarization. Check the broker’s account-opening checklist; where required, follow state notary rules or use an accepted RON service that meets identity-proofing standards.
What if the signer name doesn’t match records?
Name mismatches can delay acceptance. Provide certified formation documents, a signed affidavit of name variation, or updated corporate records to confirm authority.
How do I revoke or change the resolution?
Adopt a formal board resolution revoking or amending prior authority, notarize if required, and send the revocation to the broker with a certified copy for processing.
How long until the broker updates the account?
Processing commonly takes 1–5 business days after receiving a complete, notarized resolution; complex cases or additional KYC checks can extend this timeframe.
What records should I keep?
Retain originals, certified copies, minutes, and the broker’s acceptance confirmation for at least six years to satisfy SEC broker-dealer recordkeeping and audit requirements.

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