Form Library

Find, download, and print important brokerage forms, agreements, PDF files, and disclosures from our form library. To view and print files properly, please be sure to install Adobe® Reader. Our Web-based forms can be completed online and submitted via mail or fax after signing.  Additional forms may be available by logging into your account.

Foreign Account Opening Checklist

Assist with opening foreign accounts.

Basic Plan Document – Individual 401(k) – CYCLE 3

Individual 401(k) Basic Plan Document  – Solo/Individual 401(k) Plans only.  Updated for IRS Cycle 3 (2022 and later) and conforms with Charles Schwab Individual 401(k) plan document.  Includes IRS Opinion Letter. 

Basic Plan Document – Profit Sharing Plan and Money Purchase Pension Plan – CYCLE 3

Terms and conditions of an account with Olympia LTD.

Client Agreement

QRP Basic Plan Document  – Profit Sharing and/or Money Purchase Pension Plans only.  Updated for IRS Cycle 3 (2022 and later) and conforms with Charles Schwab QRP plan document.  Includes IRS Opinion Letter.

Commissions, Rates, and Fees

Our low, straightforward online trading commissions let you concentrate on executing your investment strategy…not on calculating fees.

ERISA Plan Information Form

Provide the plan information required by ERISA.

Qualified Retirement Plan and Trust

Provides plans intended to permit the firm to maintain business operations due to disruptions such as power outages, natural disasters or other significant events.

Olympia LTD Investment Management Service Agreement

Olympia LTD Investment Management, LLC Service Agreement.

Your Relationship With Olympia LTD

Provides information about Olympia LTD, Inc. and Olympia LTD Clearing, Inc. required under ERISA Rule 408b-2 that must be disclosed to an ERISA plan fiduciary before their ERISA plan opens an account with us. 

Letter of Explanation for U.S. Mailing Address Attachment to Form W-8BEN

Letter of Explanation for a U.S. Mailing Address/U.S. Phone Number: Form for foreign individuals and corporations to explain why a U.S. mailing address is being used to receive correspondence and/or why a U.S. phone number is on the account.

BSA/AML and OFAC Certification

Certification letter for Olympia LTD Holding Corporation and applicable subsidiaries regarding compliance with applicable BSA/Anti-Money Laundering and Office of Foreign Assets Control laws and regulations.

Characteristics and Risks of Standardized Options

Options Disclosure Document from the Options Clearing Corporation which should be read by investors before investing in options.

 

Entity Authorized Agent Form

Form to verify an authorized agent on an entity’s new account when the agent is another entity.

Interactive Voice Response Phone System Instructions

Explains the Interactive Voice Response (IVR) telephone system that you can use to access your account via telephone.

Section 408(b)(2) Disclosure Summary

Provides ERISA plan fiduciaries with information about the services Olympia LTD provides and the compensation they receive for such services.

Account Handbook

Resource for managing your brokerage account.

Privacy Statement

Olympia LTD Privacy Statement, explaining how the company uses and protects client information.

IRA Change of Beneficiary

Change the beneficiary of an Individual Retirement Account.

Margin/Options Upgrade

Apply to add margin or option privileges to an account via paper form.

 

Transfer on Death Agreement

Establish a Transfer on Death account in which individuals, joint tenants with rights of survivorship, or tenants by entireties can designate beneficiaries.