Fidelity Advisor Trading Authorization and Indemnification Completed Form Examples and Samples
Browse completed Fidelity Advisor Trading Authorization and Indemnification form examples and samples. See real-world filled-out examples for IRA accounts, individual brokerage accounts, joint accounts, and more — including advisor details, scope of authority, discretionary trading permissions, and indemnification acknowledgments.
Fidelity Advisor Trading Authorization and Indemnification Example – Individual Retirement Account (IRA)
How this form was filled:
This example shows a completed Fidelity Advisor Trading Authorization and Indemnification form for an IRA account holder granting limited trading authority to a registered investment advisor. The account owner, Margaret L. Thornton, authorizes her advisor at Pinnacle Wealth Advisors LLC to execute trades on her behalf without prior approval for each transaction. The form includes the advisor's CRD number, account details, scope of authority, and required signatures.
Information used to fill out the document:
- Account Owner Full Name: Margaret L. Thornton
- Account Owner Address: 4821 Birchwood Drive, Austin, TX 78701
- Account Owner Phone Number: (512) 555-0193
- Account Owner Email: [email protected]
- Account Type: Individual Retirement Account (IRA)
- Fidelity Account Number: X47-829301
- Advisor Firm Name: Pinnacle Wealth Advisors LLC
- Advisor Firm CRD Number: 172439
- Advisor Representative Name: Daniel R. Hargrove, CFP
- Advisor Representative Title: Senior Financial Advisor
- Advisor Firm Address: 200 Congress Avenue, Suite 1500, Austin, TX 78701
- Advisor Firm Phone Number: (512) 555-0247
- Scope of Trading Authority: Limited Trading Authorization – equities, mutual funds, and ETFs only
- Discretionary Authority Granted: Yes – advisor may execute trades without prior approval per transaction
- Indemnification Acknowledged: Yes – account owner accepts responsibility for all authorized trades
- Account Owner Signature: Margaret L. Thornton
- Account Owner Signature Date: 02/14/2026
- Advisor Representative Signature: Daniel R. Hargrove
- Advisor Representative Signature Date: 02/14/2026
What this filled form sample shows:
- Correctly completed account owner information including name, address, and contact details
- Properly identified Fidelity IRA account number tied to the authorization
- Fully detailed registered investment advisor firm name, CRD number, and representative information
- Clearly defined scope of trading authority limited to equities, mutual funds, and ETFs
- Discretionary trading authority granted without per-transaction approval requirement
- Signed indemnification acknowledgment confirming the account owner's acceptance of liability
- Matched signatures and dates from both the account owner and the advisor representative
- Realistic 2026 signature dates reflecting a current and active authorization
Form specifications and details:
| Use Case: | IRA account holder granting limited discretionary trading authority to a registered investment advisor |
| Account Type: | Individual Retirement Account (IRA) |
| Authority Type: | Limited Trading Authorization (Discretionary) |
| Assets Covered: | Equities, mutual funds, and ETFs |
| Advisor Registration: | SEC-registered investment advisor with valid CRD number |
| Form Purpose: | Authorize advisor to trade on behalf of account owner and indemnify Fidelity against authorized transactions |
| Signatures Required: | Account owner and authorized advisor representative |
| Applicable Platform: | Fidelity Advisor platform for institutional and advisory accounts |
Created: February 25, 2026 06:07 AM
