Can this be signed electronically?

Yes. Electronic signatures are widely accepted in U.S. commerce under the ESIGN Act and UETA where adopted. Confirm with the receiving firm whether they accept standard eSign methods, require specific authentication, or need notarization.

When is notarization required?

Notarization is sometimes required when a signature is executed under power of attorney or when firm policy or state law requires a notarized affidavit. Check the receiving firm's instructions and applicable state notary rules before execution.

What causes a custodian to reject a statement?

Common causes include mismatched names or TINs, missing signatures, absent supporting statements or POA, and unclear security identifiers. Providing precise fields and attachments reduces rejections.

How do I correct a submitted statement?

Prepare an amended statement with a new effective date, clearly mark it as a correction, obtain required signatures, and resubmit with an explanation and supporting documents to the receiving firm.

How long should I keep signed records?

Retain signed statements through the active agreement and for several years after termination. Follow IRS and industry retention standards; many financial records are kept at least 3–7 years.

Who may sign for an entity?

Authorized corporate officers, individuals with a valid power of attorney, or persons listed in governing documents may sign. Attach evidence of authority such as a corporate resolution or POA when applicable.

Electronic Signature
Templates
Finance
Securities Investment Statement

Securities Investment Statement

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

Securities Investment Statement

This Securities Investment Statement records the investor's profile, investment objectives, current holdings and authorizations for the account identified below. The information provided will be relied upon by the firm for suitability determinations, account monitoring and regulatory disclosures. The investor certifies the information is true, complete and accurate to the best of their knowledge.

Account & Investor Information

Client Name:

Date of Birth: Social/Tax ID:

Primary Address Contact Information Account Details Account Type (select all that apply)

Individual Joint Trust IRA/Retirement Corporate/Entity

Financial Profile

Annual Income (gross) Liquid Net Worth Total Net Worth Employment Status

Employed Self-Employed Retired Unemployed

Investment Objectives & Risk Tolerance

Investment Objectives (select all that apply)

Income Growth Capital Preservation Speculation/High Risk Tax Reduction

Risk Tolerance (select one)

Conservative Moderate Aggressive

Investment Experience

Years of Investing Experience Experience by Instrument (None / Limited / Extensive)

Stocks: Options: Bonds:

Current Securities Holdings (as of reporting date)

Reporting Date:

Description	Ticker / CUSIP	Quantity	Market Value	% of Portfolio

Total Market Value of Listed Holdings: $

Sources of Funds / Origin of Assets

Investment Restrictions & Special Instructions

Acknowledgements and Certifications

1. The investor certifies that the financial, employment and investment information provided in this statement is complete and accurate. The investor agrees to notify the firm promptly of any material change in circumstances that would affect suitability for investments or account type.

2. The investor acknowledges that securities trading involves risk, including loss of principal. The investor represents that selected investment objectives and risk tolerance are understood and that the firm may rely on this information in providing recommendations and accepting orders.

3. The investor authorizes the firm to obtain and verify credit and other financial information as necessary to service the account and to comply with applicable laws and regulatory requirements.

4. The investor certifies that no representation has been made by the firm guaranteeing or promising a particular investment return. All projections or examples, if provided, are estimates and not guarantees.

5. The investor agrees that any discrepancies in holdings or account data must be reported in writing within 30 days of receipt of account statements; failure to timely report may limit remedies available to the investor.

6. Choice of Law and Dispute Resolution: To the extent permitted by applicable law, the investor and the firm agree that disputes arising from this statement or the account will be resolved under the governing law stated in the account agreement and may be subject to arbitration as provided in that agreement.

7. Electronic Delivery & Communications: The investor consents to receiving account documents and communications electronically, unless otherwise revoked in writing in accordance with the account agreement.

Consent to Account Activity: I authorize the firm to effect transactions in the account consistent with my objectives and instructions.
Margin Authorization: I authorize margin or margin-like transactions where applicable and acknowledge associated risks.

Acknowledgment of Receipt

By signing below the investor certifies that they have reviewed and understood this Securities Investment Statement and that the information provided is complete and accurate. The investor acknowledges receipt of the account agreement and applicable disclosures.

Investor Name:

Signature:

Date:

What the Securities Investment Statement Is

A Securities Investment Statement is a written record that documents an investor's holdings, investment instructions, source of funds, and relevant account details for brokerage, advisory, custody, or transfer purposes. It is typically used by broker-dealers, investment advisers, custodians, and individual investors to establish standing instructions, verify beneficial ownership, or support account opening and transfer activities. The statement may accompany transfer forms, account applications, or compliance checks and serves as a formal representation of an investor's intentions and disclosures related to listed securities and investment vehicles.

Why a Clear Statement Matters for Transactions and Compliance

A concise Securities Investment Statement reduces processing delays, supports KYC and AML checks, and creates a reproducible record of investor declarations. It helps firms meet regulatory and audit requirements while providing counterparties a consistent basis for executing transfers, distributions, and corporate actions.

Who typically prepares and receives this statement

The Securities Investment Statement is completed by investors or authorized representatives and reviewed by financial firms and custodians before account changes or transfers.

Individual investors completing account transfers or establishing standing instructions with a broker or custodian.
Broker-dealer or custodian compliance teams verifying beneficial ownership and source-of-funds declarations.
Registered investment advisers preparing documentation for client onboarding or account servicing.

Use the statement whenever investor identity, ownership, or transfer instructions must be documented formally for operational or regulatory reasons.

Representative signers and their roles

Individual Investor

An individual investor signs to confirm ownership, tax identification, and transfer instructions. Provide government-issued ID, Taxpayer Identification Number (TIN), and contact details to avoid account holds or backup withholding risks.

Authorized Representative

A registered representative, power of attorney, or corporate officer may sign on behalf of the investor. Attach proof of authority (POA, corporate resolution) and ensure notary or witness requirements are met when required by the custodian.

Core sections to include in a professional statement

A complete Securities Investment Statement organizes identifying information, account and security details, declarations, signature blocks, and supporting attachments so reviewers can validate ownership and process requests without follow-up.

Investor Identity

Full legal name, TIN/SSN, date of birth, and government ID references for verification and tax reporting.

Account Details

Brokerage or custodian account number, account type, and firm details needed to route transfers or apply instructions.

Security List

CUSIP/ISIN, security descriptions, quantities, and whether the assets are held free and clear or subject to liens.

Declarations

Statements about beneficial ownership, tax status, source of funds, and any restrictions affecting transferability.

Signatures

Signature block(s) with printed name, title if applicable, date, and authentication method (eSignature, notarization).

Attachments

Supporting proof: account statements, POA, corporate resolutions, and identity documentation to substantiate claims.

Step-by-step: completing and submitting a Securities Investment Statement

Follow these sequential steps to prepare a statement that a broker or custodian can accept without additional requests.

01

Collect information: Gather investor ID, account numbers, and recent statements.
02

List securities: Record CUSIPs/ISINs, quantities, and share classes.
03

Add declarations: State beneficial ownership, restrictions, and source of funds.
04

Sign and submit: Sign, attach supporting documents, and send to the receiving firm.

Operational flow from preparation to recordkeeping

A predictable routing process reduces manual checks and speeds acceptance. The flow below reflects typical firm operations when receiving a statement.

Prepare package: Complete statement and attach account statements.
Identity check: Firm verifies ID and TIN before processing.
Routing: Compliance and operations review then approve or request clarification.
Archive: Signed documents are stored in the account record.

Digital workflow settings for eCompletion and eSubmission

Configure your digital workflow to capture authentication and preserve audit trails required by regulators and custodians.

Field	Configuration
Authentication	SMS code or email link for signer verification
Attachments	Require PDF account statement upload with size limit
Routing	Set signer order and conditional reviewer steps
Storage	Archive signed PDF/A with audit trail

Technical considerations for electronic completion

Ensure the signing platform supports required authentication, attachments, and a tamper-evident audit trail before eSubmission.

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

Confirm the receiving firm accepts electronic signatures and that your platform preserves the audit record, attachments, and signer authentication logs for compliance.

Common preparation pitfalls to avoid

Using a nickname or abbreviated name that does not match government ID triggers identity verification delays and potential rejection.
Omitting the Tax ID or providing an incorrect TIN leads to backup withholding or reporting mismatches with the IRS.
Failing to include security identifiers (CUSIP/ISIN) causes custodians to request clarifying documentation and delays settlement.
Submitting unsigned or partially signed pages or missing required POA documentation will halt processing and require resubmission.

Consequences of incorrect or incomplete statements

Tax penalties: Backup withholding or IRC penalties

Processing delays: Account holds and settlement delays

Contract risk: Instructions may be unenforceable

Regulatory scrutiny: Increased compliance reviews

Financial loss: Missed corporate actions

Reputation impact: Client dissatisfaction or escalation

eSignature pricing and capability snapshot — signNow first

Compare starting price and key capabilities relevant to completing and storing signed investment statements. Price models vary by plan and billing frequency.

	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 plan	Varies by plan	Varies by plan	Varies by plan
Bulk Send	Yes (Business Premium)	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Sample use scenarios for the statement

Practical examples show how a well-prepared statement prevents follow-up and speeds operational processing.

Investor Onboarding

An adviser prepares a consolidated statement to list holdings and TIN details for account opening

The firm verifies identity and accepts the digital packet
The complete, signed record eliminated two rounds of follow-up and enabled faster account funding and reporting.

Transfer and Custody

A client submits a transfer statement with CUSIPs and current statements attached

The custodian confirms beneficial ownership and clears the transfer
The clear, supported submission reduced settlement delays and minimized manual reconciliation work.

Best practices for accurate, auditable statements

Adopt these practices to reduce review cycles and to support compliance with tax and custody requirements.

Verify identity first

Confirm government ID and matching legal name before filling TIN or account fields; identity mismatches are a primary cause of holds and can trigger backup withholding or additional compliance reviews.

Use structured identifiers

Provide CUSIP/ISIN and full security descriptions rather than informal references; precise identifiers prevent misapplied transfers and speed settlement with custodians.

Preserve audit trails

Capture signer authentication, IP address, timestamps, and attached proofs. A robust audit record supports ESIGN/UETA acceptance and helps resolve disputes or regulatory inquiries.

Attach supporting docs

Include recent account statements, POA, or corporate resolutions in the initial submission to avoid iterative requests and to provide a single source of truth for reviewers.

Frequently asked questions about completion and eSigning

Answers to common questions about suitability, signing methods, and recordkeeping for Securities Investment Statements.

Need help? Contact support

Can this be signed electronically?
Yes. Electronic signatures are widely accepted in U.S. commerce under the ESIGN Act and UETA where adopted. Confirm with the receiving firm whether they accept standard eSign methods, require specific authentication, or need notarization.
When is notarization required?
Notarization is sometimes required when a signature is executed under power of attorney or when firm policy or state law requires a notarized affidavit. Check the receiving firm's instructions and applicable state notary rules before execution.
What causes a custodian to reject a statement?
Common causes include mismatched names or TINs, missing signatures, absent supporting statements or POA, and unclear security identifiers. Providing precise fields and attachments reduces rejections.
How do I correct a submitted statement?
Prepare an amended statement with a new effective date, clearly mark it as a correction, obtain required signatures, and resubmit with an explanation and supporting documents to the receiving firm.
How long should I keep signed records?
Retain signed statements through the active agreement and for several years after termination. Follow IRS and industry retention standards; many financial records are kept at least 3–7 years.
Who may sign for an entity?
Authorized corporate officers, individuals with a valid power of attorney, or persons listed in governing documents may sign. Attach evidence of authority such as a corporate resolution or POA when applicable.

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