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  USA PATRIOT ACT

In compliance with the USA PATRIOT Act and other applicable regulations, we are required to obtain, verify, and record information that identifies each person who opens an account.

When you open an account, we will ask for your company name, business address, tax identification number, trading authorization, corporate certificate or articles of incorporation and other information that will allow us to identify you. We may be required to disclose this information pursuant to applicable laws, rules or regulations, but it will otherwise be retained in confidence according to our Privacy Policy. We may not be able to open an account or carry out transactions for you if this information is not provided or your identity can't be verified.

We thank you for your patience and hope that you will support the financial industry's efforts to deny terrorists and money launderers access to America's financial system.

 

     
  

  


SAVE THE DATE FOR


THE FIFTH ANNUAL
HEALTHCARE
CONFERENCE


November 18 - 19, 2008
The St. Regis New York
New York, NY

  
  

 

  Member FINRA/SIPC Business Continuity Plan   Annual Customer Notification   Privacy Notice   Public Disclosure   USA Patriot Act