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Document Upload

Overview#

Document upload is required for international applications and specific types of domestic applications. See Document Requirements and Document Upload Specifications for details.

Document Upload Flow Diagram#

Agreements Flow Diagram

  1. Client application receives application submission success response which contains ApplicationId and RequiredDocuments array. The RequiredDocuments array contains objects with document requirements (both RequiredForSubmission and NotRequiredForSubmission) for each contact. See Create Application and Edit Application response objects for details.
  2. Client application displays document requirements from the RequiredDocuments array to the user. See Document Requirements for details.
  3. User uploads individual files, and client application will POST each individual document file with the associated DocumentType to the Document Files endpoint, which returns a FileId.
  4. Client application keeps track of all FileId values, their associated DocumentType, and the ContactType that the file is associated with.
  5. Once the user indicates they have uploaded all of the required documents for each contact, the client application will PUT a list of all of the DocumentFiles for each ContactType to the Submit Documents endpoint.
  6. The Submit Documents endpoint will respond with a 200 status code upon successful submission. The Agreements can now be submitted to finalize the submission of the TradeStation application.
  7. If the user wants to edit the list of documents associated with their application (e.g., adding newly uploaded document files or removing previously uploaded document files), the client application can PUT the edited list of DocumentFiles once again to the Submit Documents endpoint. Edits cannot be made once the Agreements have been submitted.

Document Requirements#

Some TradeStation account applications require the applicant to upload documents in order to complete the approval of the TradeStation account. Some documents (RequiredForSubmission) are required in order to complete the submission of the application via the AOP API. Other documents (NotRequiredForSubmission) are not required for the submission of the application via the AOP API, but are still required for approval of the TradeStation account. The NotRequiredForSubmission documents may be submitted later by the applicant via a manual process.

Document Format Requirements#

Document TypeMax File SizeJPGPNGGIFTIFFWordPDF
Proof of Identity5 MB✔️✔️✔️❌❌❌
Proof of Address10 MB✔️✔️✔️✔️✔️✔️
Employer Authorization Letter10 MB✔️✔️✔️✔️✔️✔️
SEP IRA 5305 Form10 MB✔️✔️✔️✔️✔️✔️
Simple IRA 5304 Form10 MB✔️✔️✔️✔️✔️✔️

Proof of Identity#

  • RequiredForSubmission - This type of document is required for applicants who have a residential address outside of the United States or for US applicants who fail to provide a Social Security Number or Tax ID. TradeStation uses this document to verify the identity of these applicants.
  • Applicants are required to upload images of a valid, non-expired government issued photo ID.
  • The name and date of birth on the document must match the information provided in the account application.
  • The table below indicates the acceptable ID types and associated minimum requirements:
Document TypeRequired ImagesMax SizeImage Quality
Driver’s License2 images: Front and back of ID5MBColor, 720p or higher
ID Card2 images: Front and back of ID5MBColor, 720p or higher
Passport Card2 images: Front and back of ID5MBColor, 720p or higher
Passport BookData page including personal information, photo, and signature5MBColor, 720p or higher
  • When submitting images for a customer proof of identity, you are required to specify a DocumentSubType for each image. The available subtypes are:
    • PASSPORT
      • Required for Passport books.
      • Indicates the image belongs to the passport data page showing the personal information, photo, and signature of the Passport owner.
    • ID_FRONT
      • Required for Driver licenses, ID cards and Passport cards.
      • Indicates the image belongs to the front of the photo ID.
    • ID_BACK
      • Required for Driver licenses, ID cards and Passport cards.
      • Indicates the image belongs to the back of the photo ID.
  • Please note that some additional image quality requirements should be considered during the image upload to help reduce the number of Proof of Identity rejections:
    • All four corners of the ID should be clearly visible, and the image should not be blurry or contain glare.
    • Photos submitted of a government issued photo ID are best taken in a location with good lighting and where the ID can be placed against a dark background for improved contrast.
  • For additional information and examples, see Document Upload Specifications.

Proof of Address#

  • RequiredForSubmission - This type of document is required for applicants who have a residential address outside of the United States or for US applicants who fail to provide a Social Security Number or Tax ID. TradeStation uses this document to verify the identity of these applicants.
  • The applicant is required to upload a copy of a document to verify the address of residence. The name and address in the uploaded document should match the applicant information provided in the account application.
  • The document must be dated within 60 days from the application’s submission date.
  • Supported documents:
    • Utility bill
    • Bank statement
  • Specific file requirements:
    • Supported file types: JPG, PNG, GIF, TIFF, Word, PDF.
    • File size: maximum 10 MB.

Employer Authorization Letter#

  • NotRequiredForSubmission - This is an optional document because the applicant has the option of submitting the document with the application or sending it later to TradeStation. The account approval will be put on hold until the document is received by TradeStation.
  • This document is only required for account approval when the applicant answers “Yes” to the Affiliations question: “Are you or your spouse associated with or employed by a NYSE, FINRA, and/or NFA registered brokerage firm?”
  • Since the applicant is an employee or associate of a NYSE, FINRA, and/or NFA registered brokerage firm, that firm is required to provide authorization for the applicant to be able to maintain an account with TradeStation.
  • The applicant should be made aware that TradeStation requires a copy of the Employer Authorization Letter signed by the employer.
  • Specific file requirements:
    • Supported file types: JPG, PNG, GIF, TIFF, Word, PDF.
    • File size: maximum 10 MB.

SEP IRA 5305 Form:#

  • NotRequiredForSubmission - This is an optional document because the applicant has the option of submitting the document with the application or sending it later to TradeStation. The account approval will be put on hold until the document is received by TradeStation.
  • This form is only required for applicants who are applying for a SEP IRA account.
  • Applicants should be able to download a copy of this form using this link: http://www.tradestation.com/single-forms/sep-ira-5305-application/
  • The applicant should fill out and upload a copy of the signed form as part of the online application.
  • Specific file requirements:
    • Supported file types: JPG, PNG, GIF, TIFF, Word, PDF.
    • File size: maximum 10 MB.

Simple IRA 5304 Form#

  • NotRequiredForSubmission - This is an optional document because the applicant has the option of submitting the document with the application or sending it later to TradeStation. The account approval will be put on hold until the document is received by TradeStation.
  • This form is only required for applicants who are applying for a Simple IRA account.
  • Applicants should be able to download a copy of this form using this link: http://www.tradestation.com/single-forms/simple-ira-5304-application/
  • The applicant should fill out and upload a copy of the signed form as part of the online application.
  • Specific file requirements:
    • Supported file types: JPG, PNG, GIF, TIFF, Word, PDF.
    • File size: must be below 10 MB.

Deleting Uploaded Documents#

The AOP API does not support the deletion of uploaded documents. Instead, if there are any uploaded document files that the user does not want to be associated with their TradeStation account application, the client application should simply omit that document file in the documents submission.

Document Validation#

The Submit Documents endpoint will respond with errors if a document file has not been submitted for each DocumentType of the RequiredForSubmission array, for each Contact.

Editing Document Submission#

If the user wants to remove or replace an uploaded document file after the documents submission, or if the user has uploaded an additional document file after the documents submission, the client application can submit the edited list of DocumentFiles once again to the Submit Documents endpoint, and it will overwrite the existing documents that are associated with the application.

See Also#