The information gathered on this form helps us comply with various security industry regulations and the USA Patriot Act, a federal law requiring all firms
obtain, verify and record information that identifies each applicant.
The information also helps us more fully understand your investment profile and identity what types of investments or strategies may be suitable for you.
Please note: if we cannot verity the information you provide, we may be required to restrict or deny your account.
Remember to notify us if you experience a significant life change, such as the birth of a child, marriage, divorce, death of a spouse, loss of a job, change in
financial situation, etc.
It is also a requirement to update this form every 3 years.
Please DO NOT leave any blanks.
*NOTE: If you are part of a JOINT account or MARRIED, we will need a SEPARATE data form for the other individual.