Opening Brokerage Account: all caps vs lower case for name

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ToushiTime
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Posts: 262
Joined: Sat Feb 06, 2021 9:39 am

Opening Brokerage Account: all caps vs lower case for name

Post by ToushiTime »

Hi, I've just been told that I have to resubmit my application to open an online brokerage account because I didn't use all caps for my name.
The form didn't specify that, and I don't remember using all caps for previous bank, credit card and brokerage applications.
I only use all caps / block letters when specifically told to do so.
From now on, I'll use all caps on these kind of forms, but it seems a bit pointless.
They called me up, so if the name was illegible (it wasn't) they could have just confirmed the spelling over the phone (which wasn't necessary).
Maybe the financial institutions I have dealt with so far have been slack... or turned a blind eye.

Am I an outlier on this?
ToushiTime
Veteran
Posts: 262
Joined: Sat Feb 06, 2021 9:39 am

Re: Opening Brokerage Account: all caps vs lower case for name

Post by ToushiTime »

But it should not cause any issues legally if it isn’t. Just being an*l
an*l indeed!

and I have to wait a week for the form to arrive back, they said. Including the time to send it back, this will probably push the whole process to the other side of Golden Week, sigh
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