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This application can be used by existing TD Canada Trust · PDF file ·...

Date post:10-Mar-2018
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  • This application can be used by existing TD Canada Trust customers to open Retirement Savings Plans orPersonal Non-Registered accounts. For all other account needs please visit your local TD Canada Trustbranch.

    Checklist for Opening a TD Mutual Funds Account

    525834 (0610)

    Account Application and Customer Investor Profile Both documents must be completed in order to open a TD Mutual Funds account. The Customer Investor

    Profile will help you determine your Investor Profile and the optimal asset mix for your portfolio.

    Please provide your TD Canada Trust account number or TD Mutual Fund Account number in the spaceprovided.

    Third Party Statement The Third Party Statement must be completed if you answered "YES" to the question found in section 1 of

    the account application "Will someone other than the account holder(s) be making frequent deposits to orreceive financial benefit from the account?" (Other than the account holder or Beneficiary named on theaccount application).

    Transaction Form The Transaction Form is to be used if you are making purchases or setting up a Pre-Authorized Purchase

    Plan (PPP) to your Mutual Funds Account.

    Transfers If transferring from an existing registered or non-registered account please ensure the proper transfer

    form is completed. To download the transfer form use the following linkhttp://www.tdcanadatrust.com/mutualfunds/downloads.jsp

    In order to avoid delay please complete correctly, sign and initial all applicable areas.Forward your completed documents to:

    TD Investment Services Inc.Liberty Centre3500 Steeles Avenue, EastTower 5, Level 2Markham, OntarioL3R 0X1

    All applications are subject to approval by TD Investment Services Inc.

    If you require further assistance, please call 1-800-281-8029 to speak to one of our Mutual Funds Representatives oremail us at [email protected]

    Steps to complete this package:

  • Account Maintenance Instructions TD e-Series Funds

    Instructions for updating information on an existing TD e-Series Funds Account.

    At any point during this maintenance process simply visit www.tdcanadatrust.com/mutualfunds/tdeseriesfunds/account.jsp and clickon the Contact Us link on the right navigation bar for assistance. You will be offered self help tips for the TD e-Series Funds Account,and other ways to get additional assistance.

    If you need assistance:

    Please carefully read the instructions on the Maintenance Form and fill in all applicable information. Incomplete instructions may bedelayed.

    Be sure that all applicants sign the maintenance form. Original signature(s) are required. Unfortunately we are unable to accept faxed Maintenance Forms. Please mail the form to:

    TD e-Series Funds AdministrationLiberty Centre3500 Steeles Avenue EastTower 5, Level 2Markham, OntarioL3R 9Z9

    All changes are subject to approval by TD Investment Services Inc.

    Please complete and return the attached Maintenance Form:

    Once your Account Maintenance has been processed, you will receive confirmation via email.

    When your account is updated:

    525866 (0610)

  • Yes (Please complete the ThirdParty Statement Form # 592018)

    Will someone other than the account holder(s) be making frequent deposits to or receive financial benefit from the account?

    Personal (Non-Registered)Joint Non-Registered (Please ensure that Joint Applicant completes sections 2, 6, and 7)


    1. Please Tell Us About YourselfMr. Mrs. Miss OtherMs. Male

    English(if a Quebec resident see Section 7)


    Telephone home ( )E-mail address


    Telephone business ( )

    Power of Attorney/Trading Authority No If Yes, please specify type and attach a copy of the document(Attorney must provide KYC information in the applicable form):


    Mailing Address City

    MANDATORYSocial Insurance No. Date of Birth Note: Applicant must be

    of legal Age of Majority.Federal Government requires your Social Insurance Number (SIN). You must by law provide us with your SINso that we may supply the Canada Revenue Agency with reports of income earned on your investments.

    Language of Correspondence


    Note: TDIS accounts are only available toCanadian residents.



    528666 (0610)

    Given Name Initial(s) Family Name

    Postal CodeProvince

    Choose only one:

    Please complete if mailing address is different from above:

    2. For a Joint Non-Registered TD Mutual Funds Account, Please Complete the FollowingYou would like a Joint Account with right of survivorship with:

    who is your Social Insurance No. Date of Birth Note: Joint Applicant mustbe of legal Age of Majority.Relationship

    Mr. Mrs. Miss OtherMs.Given Name Initial(s) Family Name

    Yr Mo Day


    Yr Mo Day

    TD Mutual Funds Account #Rep. Code Branch No.Mutual Funds Representative Name

    Branch Use Only

    Using borrowed money to finance the purchase of securities involves greater risk than a purchase using cash resources only. If you borrow money to purchase securities,your responsibility to repay the loan and pay interest as required by its terms remains the same even if the value of the securities purchased declines.

    Have you borrowed money in order to make an investment in this account?

    I/We confirm having read this disclosure. (please initial)

    Yes No

    Applicant Spousal/Joint Applicant

    Permanent Address CityCountry Postal CodeProvince

    Employer Type of Business

    OccupationEmployer's Address

    EmploymentStart Date

    Yr Mo

    New Account ApplicationTD Investment Services Inc.

    TD Mutual Funds Account ___________________

    TD Canada Trust Bank Account ________ - ____________YesNo


    IdentificationIdentification # Type Place of IssuanceMANDATORY

    Identification # Type Place of IssuanceMANDATORY

    (Two original pieces ofID required or existingTDIS account #):

    IdentificationIdentification # Type Place of IssuanceMANDATORY

    Identification # Type Place of IssuanceMANDATORY

    (Two original pieces ofID required or existingTDIS account #):


    PersonalAnnual Income

    Under $25,000$25,000 - $49,999$50,000 - $74,999$75,000 - $125,000Over $125,000

    You hereby confirm that the units in the Funds and Portfolios are to be owned by each of you as joint tenants and not as tenants in common, and we are hereby authorized totake instructions or directions from either of you alone with respect to the Plan. A Joint Plan with right of survivorship is not available in Quebec. You, the Joint Subscriber,hereby confirm that the time frame, objective and risk tolerance indicated in the Customer Investor Profile for the account are in agreement with your own personalobjectives.

    Which of the following best describes the type of investments you currently own, or have owned in the past?Little or no investments Mostly GICs or Term DepositsMostly bonds or income mutual funds A mix of money market, bond and equity investments and/or mutual fundsMostly stocks and/or equity mutual funds


    LimitedAverageAbove AverageSophisticated

    Portfolio ValueUnder $25,000$25,000 - $49,999$50,000 - $99,999$100,000 - $499,999$500,000 - $999,999Over $1,000,000

    Personal Net WorthWhat are your:Liquid Assets $________________+ Fixed Assets $________________= Total Assets $________________- Total Liabilities $________________= Estimated Personal Net Worth $________________


    ________ yrs

    Employer Type of BusinessOccupationEmployer's Address

    Employment Start DateYr Mo

  • 4. Banking InformationPlease attach a void cheque if you do not have a bank account with TD Canada Trust. If an account application is being mailed and you do not have a TD CanadaTrust bank account or TD Mutual Funds account, a cheque payable to TD Investment Services Inc. MUST accompany the application along with your first purchaseinstructions.

    b) Designation of Beneficiary


    Note: Your designation of beneficiary is subject to applicable law. Beneficiary designation for an applicant who is a resident of Quebec can only be made by way of a willor marriage contract. You may wish to discuss this designation with your legal advisor. Your designation of a beneficiary by means of a designation form will not berevoked or changed automatically by any future marriage or divorce. Should you wish to change your beneficiary in the event of a future marriage or divorce, you will haveto do so by means of a new designation.

    The space below may be used to designate a beneficiary for your Plan in the event of your death.

    Given Name Initial(s) Family Name Relationship

    3. Please Complete this Section for Your Registered Plana) For a Spousal RSP

    Your spouse, or common-law partner whose name and personal data appear below, will be claiming these RSP contributions as a deduction.

    Permanent Address (same as Applicant or)City Province Country Postal Code

    Social Insurance No. Date of Birth

    Mr. Mrs. Miss Ms.

    Yr Mo Day

    OtherGiven Name Initial(s) Family Name

    Non-Registered accounts only (If not completed, investment income will be automatically reinvested.)Please select one: Investment income from dividends and interest should be automatically reinvested in additional units.

    Investment income should be directed to my bank account.Investment income should be sent by cheque to the address noted in Section 1.

    US $ Account Number

    Account Holder's Name(s)

    Financial Institution Institution Number Branch Transit Number

    Financial Institution Address

    City Province Postal Code

    Canadian $ Account Number


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