Margin Account Information and Disclosure Statement
Business Continuity Disclosure
Privacy and Security
USA PATRIOT Act Notice
IMPORTANT INFORMATION ABOUT OPENING A NEW ACCOUNT OR ESTABLISHING A NEW CUSTOMER RELATIONSHIP
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all U.S. financial institutions to obtain, verify, and record information that identifies each individual or legal entity that opens an account or establishes a customer relationship with Fieldpoint Private Securities, LLC. Federal law also requires all U.S. financial institutions to obtain, verify, and record information that identifies the beneficial owners of a legal entity that opens an account or establishes a customer relationship.
What this means for you:
If you enter into a new customer relationship with Fieldpoint Private Securities for yourself or another individual, we will ask for your name, address, date of birth and other identifying information. In addition, if you enter into a new customer relationship with us on behalf of a legal entity, we will ask for the names, addresses, dates of birth and other identifying information of the beneficial owners of the legal entity. This information will be used to verify your identity and, in the case of a legal entity customer, the identity of the beneficial owners.
As appropriate, we may, in our sole discretion, ask for additional documentation or information. If you do not provide all required documentation or information, we may be unable to open an account or establish a relationship with you.