Transcription of 407/3050 Approval Letter Form - tastyworks
1 Account Number: Part 1: Part 2: Part 3: You Fill Out This Part 407/3050 Approval Letter FormAccount owner's request to open an outside brokerage accountSignature:Date:Member firm acknowledgment & approvalMy signature confirms that my employer is a FINRA or Exchange Member Firm, and that I have requested authorization from my employer to open and/or maintain a brokerage account with tastyworks , Owner's Name (Printed):Your Compliance Officer Fills Out This Part, my signature confirms that we do not object to the openingAs a Compliance Officer for and/or maintaining of a tastyworks , Inc. brokerage account for:Employee's Name:Employer (name of Member Firm):Employer's Address:State:City:Zip Code:Phone Number (including area code):Compliance Address (Required):Yes, our Firm requestsduplicate monthly statements and/ortrade confirmations with respect to the above account sent to the compliance address listed , our Firm is not requesting duplicate monthly statements or trade confirmations for the above listed account.
2 Compliance Officer's Name (Printed):Compliance Officer's Signature:Date:Once complete, please email this form to Your tastyworks account will be pending until we receive your firm's Approval . 407 Approval Letter Form1tastyworks, Inc.
