New Account Docs & Disclosures

Open a New Account
 
If you are an existing client and would like to open an additional account, contact your registered representative or investment advisor directly. If you are a new client, contact our main office at (800) 942-0262 or click here to send an e-mail to our New Accounts department.
 
Click here to view and print the Southwest Securities, Inc.* New Account Application.
 
For online account access once your account is established, click here to print the appropriate forms.  Please note that the form entitled Confirmations via Email or Facsimile is not required for online access, however it is recommended.  Mail the completed forms to 14497 North Dale Mabry Highway, Suite 215, Tampa, FL 33618 or fax to (813) 962-8695.
 
Important information about opening a new account:
 
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
 
What this means for you:
 
When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.
 
The U.S. Department of the Treasury, Securities and Exchange Commission and FINRA already require you to provide most of this information.  These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.
 
What happens if you choose not to provide this information?
 
Calton & Associates, Inc. may not be able to open an account or carry out transactions for you.  If we have already opened an account, we may have to close it.
 
Client Disclosures
 
 
SEC Order Routing Disclosure  (Click the Equity Trading link for the Rule 605 disclosure)
 
 
 
 
 
*Calton & Associates, Inc. has a clearing arrangement with SWS Securities, Inc. providing access to all markets, company research and quotes.   All investments held at SWS Securities, Inc. are protected by SIPC for up $500,000 ($400,000 in securities, $100,000 cash). SIPC protects against brokerage house failure, not against market loss. Additional protection up to $100 million is provided for larger accounts.