Important Information about Procedures for Entering a New Transaction

In accordance with the Gramm-Leach-Bliley Act of 1999, the SEC adopted Regulation S-P, which requires broker/dealers to develop privacy policies with respect to customer nonpublic information.

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all broker/ dealers to obtain, verify, and record information that identifies each person transacting business with the broker/ dealer.

What this means for you: When you enter into a transaction with this firm, we will ask for your entity's legal name, address, TIN and other information that will allow us to identify you. We may also ask to see your entity's business license or other identifying documents.