Becoming a Client involves the following:
- Discuss the client’s financial position, investment
objectives, time horizon, and risk tolerance; our services,
investment philosophy, and fees as relevant to the client’s
goals. Client to review our disclosure statement on Form
ADV Part II, the Investment Advisory Agreement, and the
Privacy Policy.
- Establish a client relationship with us via signing of
the Investment Advisory Agreement.
- Open an account (and subsequently transfer assets to be
managed) with TD Ameritrade Institutional (TDA) as the Custodian
or give us access to the account with the current Custodian.
- Provide the client with online access to TDA and eWebPortfolio,
as applicable.
- Begin the portfolio management and investment advisory
process.
Paperwork: Agreements, Application Forms,
Disclosures, and Attachments
To become a Client of Ceera Investments, LLC, please complete
the following steps:
| Steps to become a client
of CEERA Investments, LLC |
| Step 1: Investment Advisory Agreement |
- This Investment Advisory Agreement dictates the
advisory relationship between a client and Ceera
- Please complete two copies of this agreement. We
will return one original copy after completion of
all the relevant details. Kindly ensure that pages
3,4,5 are signed.
- If a joint account is being managed, kindly complete
two copies of this agreement for each account holder/client.
|
| Step 2: New Account Application and Account
Funding |
- TD Ameritrade as Custodian: To
create an account (where a client’s assets will
in custody for management by Ceera) with TD Ameritrade,
please fill the applicable form (s) depending on the
kind of account being opened. The following form(s)
also give Ceera Investments, LLC a limited Power of
Attorney only to buy or sell appropriate investments
in a client’s account:
- To open a Standard Account (Individual,
Joint Account):
- Standard Account Application Form
- Account Funding:
- If assets are being transferred in from
another brokerage account:
- If assets are being deposited by check
- If funds are being wired in, instructions
will be provided after an account has been
opened
- International clients: Please also complete
the following W8-BEN form, per these
instructions.
- To open an IRA Account (IRAs, Rollover
IRAs, 401K Rollovers):
- IRA Account Application Form
- Account Funding:
- If assets are being transferred in from
another brokerage IRA/Rollover Account:
- If assets are being transferred by a Direct
Rollover from a 401K plan, please print
out the following
- If assets are being deposited by check
- If funds are being wired in, instructions
will be provided after an account has been opened
- Other Custodians: If a client desires
assets to be in custody at a different brokerage/custodian,
then please skip the remaining steps and call us for
further instructions.
|
| Step 3: Other attachments requested: |
- Completed Client Information Sheet
- For US Residents: Copy of driver’s license
for each client/ account holder
- For International Residents: Copy of current passport
|
Step 4: Please read the following disclosures and let
us know if you have any questions:
|
|
| Step 5: |
Please send the above applicable forms and attachments
to:
Ceera Investments, LLC
5434 Judalon
Houston, TX 77056
Ph: 713-3557523
|
Shortly after completion of the above account openings, a
client will receive:
-From Ceera Investments, LLC: A packet/ letter/ e-mail with
online access details, etc.
-From TD Ameritrade: An informational packet including disclosures
that may also be obtained online
|
