Secure Document Uploads
This page provides details around the documents that can be uploaded for a user, account or advisor firm using the GSAS Document Upload API.
Account Documents
| Associated Document | Document Type | Description |
|---|---|---|
| Account Transfer Form | ACCOUNT_TRANSFER | Use this form to transfer assets held at another financial institution to us that cannot be performed online. |
| Electronic Funds Transfer Bank Link Authorization Form | BANKLINK_OV | Use this form to obtain the clients owner verification wet signature for approval for an (EFT) bank link between a domestic bank account and a Goldman Sachs Custody Solutions account only if the client is unable to obtain the signature electronically. |
| Entity Client Onboarding Supplemental Questionnaire | ENTITY_QUESTIONNAIRE | Use this form to provide additional required information when opening a new legal entity account. |
| Any documentation relating to Estates (Not a GSAS provided form) | ESTATE_DOCS | Provide the following documents: Death Certificate and Court-approved copy of Letters of Testamentary/Administration |
| Internal Account Transfer Form | INTERNAL_TRANSFER | Use this form to transfer cash and/or securities between existing accounts held by us that cannot be performed online. |
| Inherited IRA Account Amendment Form | INHERITED_IRA_CERT | Use this form to convert a new IRA to an inherited IRA |
| Death Certificate (Not a GSAS provided form) | IRA_DEATH_CERTIFICATE | Death Certificate for an owner of an Inherited IRA Account (Not a GSAS provided form) |
| IRA Distribution Form | IRA_DIST | Use this form to request distributions from your IRA account that cannot be performed online. |
| Margin Authorization Form | MARGIN_AUTH | Use this form to enable margin borrowing on your brokerage account only if the client is unable to perform this task online. |
| Qualified Retirement Plan Setup Form | QRP_SETUP | Use this form to complete the account opening process for new Qualified Retirement Plans (QRP) such as 401(k) Plans, after you have completed the online portion of the account setup. |
| IRA Rollover Certification Form | ROLLOVER_CERT | Use this form to accompany a rollover distribution from your current traditional IRA, Roth IRA or eligible Qualified Retirement Plan that you are depositing into an IRA held with us, when you have received a physical check. |
| SIMPLE IRA Employer Certification Form | SPL_IRA_EMPLYR | Employers use this form to complete the SIMPLE IRA (type 5304) account opening process. |
| SIMPLE IRA Employee Certification Form | SPL_IRA_EMPLYE | Account holders use this form to complete the SIMPLE IRA (type 5304) account opening process only in instances where you cannot perform this process on our website. |
| Evidence of Trust | TRUST_EVIDENCE | For trust formed in the following four states: Louisiana, North Dakota, New York, and Rhode Island |
| Trustee Indemnification Form | TRUSTEE_CERTIFICATION | Use this form to provide required signatures from each trustee for a trust account. Required for trust account opening only if the trustee cannot perform this online. |
| IRS W-9 Form | W9 | Use this form to update the name on an account that is associated with a Taxpayer Identification Number (TIN) after a marriage or divorce, or to request a correction to the TIN on an account. |
| Account Transfer Letter of Authorization Form | ACCOUNT_TRANSFER_LOA | Use this form for account transfers where the firm sending assets to us will not accept an electronic signature on the transfer request. We will provide the physical client signature on this form to the transferring firm so that they will process the transfer to us, the receiving firm. |
| Advisor Payment Attestation Form | ADVISOR_PAYMENT_ATTEST | Use this form, with a signed payment instruction from your client to verify that a payment is authorized by the account owner/authorized signatory, to eliminate the requirement for GSCS to call the client to verify the payment instruction. For Taxable Accounts Only. |
| Standing Letter of Authorization (Payment Authorization Form) | SLOA | Use this form to obtain client authorization for payments to a third-party payee without verifying each individual payment, even when the amount and timing of payments change over time (i.e., a Standing Letter of Authorization (SLOA)), and for individual payments only in instances where you cannot perform this process on our website. For Taxable Accounts Only. |
| Joint Account Options Trading Authorization Form | JOINT_OPTIONS_AUTH | Account owners use this form to enable options trading on a joint brokerage account only. Please use the Options Trading Authorization Form for all other account types. |
| Options Trading Authorization Form | OPTIONS_AUTH | Account owners use this form to enable options trading on a client brokerage account |
| Debit Card Form | DEBIT_CARD | Use this form to apply for debit card. |
| Checkbook Request Form | CHECKBOOK | Use this form to apply for checkbook. |
| Taxable Securities Gifting Form | GIFTING | Use this form to make a gift of securities from a taxable account held by us to an individual or an entity, as a Transfer in Kind. |
Member Documents
| Document Name | documentType | Notes |
|---|---|---|
| Accredeitation Documentation | ACCREDITATION_DOCS | Any documentation relating to advisee accreditation (Not a GSAS provided form) |
| FINRA Member Approval Form | FINRA_MEMBER_FORM | Use this form when you are opening a new account for a client, or updating client settings if the client, their spouse, or any other immediate family members, including parents, in-laws, and siblings that are dependents, employed by or associated with the securities industry (for example, investment advisor, sole proprietor, partner, officer, director, branch manager or broker at a broker-dealer firm or municipal securities dealer) or a financial regulatory agency, such as FINRA or the New York Stock Exchange, and this entity requires that the client obtain its approval to open this account. |
Firm Documents
| Document Name | documentType | Notes |
|---|---|---|
| Firm Billing Upload | FIRM_BILLING_UPLOAD | Upload the GSCS provided billing spreadsheet template, updated with the applicable billing details. |
File Types Accepted
Only the following file types are accepted, and files must be less than 10MB.
- XLS
- XLSX
- CSV
- TXT
- JPG
- JPEG
- BMP
- TIFF
- HEIC
- PNG
- GIF
- SVG
- RAW
- HEIF
- PSD
- EPS
- WEBP
- XCF
- AVIF
- HEVC
Was this page useful?
Give feedback to help us improve developer.gs.com and serve you better.