Secure On-line application

After completing the Secure On-line application print the paperwork and fax to OC Securities, Inc. at 949-916-1414 these 3 signed pages of paperwork - 

• The first page of the signed Customer Account Agreement
• The 2 pages of the New Account Application Form with page 2 signed by the account holder(s)

For information on funding your account please go to "Open an Account" and select "Fund A New Account" on the drop down bar or follow the link below:

Funding your OC Securities, Inc. account.

Go to https://online.penson.com/ and 'Create a User ID'. The site will verify it's you and allow you access to your account information on-line. Below is a link to the user's guide link.

Online Penson User's Guide

Sign-in, go to 'services and tools'.  Click update profile, which gives you 2 boxes, one for e-mail confirms, another for e-statements - check both boxes then check the 'I agree' box.

Go to the https://online.penson.com/

Sign-in, go to 'services and tools'.  Click update profile, which gives you 2 boxes, one for e-mail confirms, another for e-statements - check both boxes then check the 'I agree' box.

We have also purchased supplemented coverage through Lloyds’ of London which provides additional coverage in excess of $35 million per account including a cash sub limit of $900,000. Cash balances created and maintained solely for the purpose of earning interest are not protected by SIPC. SIPC does not cover commodity contracts and options on futures. The SIPC coverage and excess SIPC coverage does not protect against changes in the market value of your investments (whether as a result of market movement, issuer bankruptcy or otherwise). For details or a brochure, please see www.sipc.org.

Yes, downloading trading information to Gainskeeper as follows. Go to the Gainskeeper homepage at http://www.gainskeeper.com/. log into Gainskeeper with your username/password. Click on  'GainsTracker' tab, Click on 'Record Trades' tab. Click on 'Penson Financial Services', enter your Penson Username/Password and specify the date range to pull the trades into Gainskeeper. Gainskeeper will pull up all the trades for the dates that you specified in step 5 above. Follow next steps in Gainskeeper to proceed generating Schedule D.

Yes, most foreign accounts are accepted. A W8 form and copy of passport photo are required. We currently can't open accounts for Afghanistan, Angola, Burma (sometimes referred to as Myanmar) Cuba, Iran, Iraq, Libya, Nauru, North Korea, Sudan, Syria, Zimbabwe and Canadian residents.

Yes, fund your account with $10,000 or more, fill out the PenFlex Application, fax it to us and your checks will be mailed to you.

Penflex Checkwriting: Click here to fill out paperwork

Yes OC Securities, Inc. is a FINRA registered broker-dealer and a member of SIPC. OC Securities, Inc. is licensed across the U.S.

Print and sign the Stock Power

Send the stock certificate with your OC Securities account number written on the certificate along with the signed stock power to:

Penson Financial Services, Inc.
1700 Pacific Avenue, Suite 1400
Dallas, TX 75201-7322

You fill out a Change of Address form, sign it and either fax it or e-mail it to us.

Directions to enter extended hours orders:

Order must be entered with a Time in Force "GTEM"
(Good Til Extended Market)
A day order will be accepted if entered during Market hours.

Order must be entered as a limit order.
Due to historically large spreads market orders are not accepted during extended trading hours.

Platform trading hours for OC Securities, Inc. are as follows:

Web Base - 8:00am to 6:30pm
Axis 3.0 - 8:00am to 6:30pm
Axis Pro - 8:00am to 6:30pm
when routing through NSDX or ARCX

Omni Pro - 7:00am to 8:00pm
when routing through ARCX

Omni Pro - 7:00am to 4:00pm
all other routes.