This guide sets out the criteria, documentation, and submission steps for individuals applying for professional investor classification on STOKR.
Step 1: Confirm you meet the eligibility criteria
As an individual, you must meet at least two of the following, as set out in Section 67(6) of the German Securities Trading Act (Wertpapierhandelsgesetz, WpHG):
- You conducted an average of 10 transactions per quarter on the relevant market during the previous four quarters.
- You hold a financial instrument portfolio, including cash deposits and financial instruments, exceeding EUR 0.5 million.
- You have been employed for at least one year in a professional position in the financial sector requiring knowledge of the relevant transactions or services.
Step 2: Prepare supporting documentation
For each criterion you rely on:
- Transaction frequency: an official report or account extract showing transaction number, volume, and period, with your name and provider name.
- Portfolio value: an official account or custody statement showing your balance and/or financial instruments exceeding EUR 0.5 million.
- Professional experience: employment references, an employer's certificate, or similar proof, including your name and the employer's signature or stamp.
Step 3: Gather the required personal information
Company (optional), first name, surname, street and house number, zip code and city, country, email address, phone number, professional activity, and the supporting documents from Step 2.
Step 4: Submit your application
Complete and submit the professional investor application form with all required documents and information attached.
Step 5: Await confirmation
Your application is reviewed by STOKR's verification partner, and you will be notified of the outcome.