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Anti-Money Laundering

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. This notice answers some questions about our firm's Customer Identification Program (CIP).

What types of information will you need to provide?

When you open an account, our firm is required to collect information such as the following: your name, address, date of birth, Identification number:

(a) US Citizen: taxpayer identification number (social security number or employee identification number), or (b) Non-US Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government- issued identification showing nationality, residence, and a photograph of you. You may also need to show your driver's license or other identifying documents.

A corporation, partnership, trust or other legal entity may need to provide other information such as its principal place of business, local office, employer identification number, certified articles of incorporation, government issued business license, a partnership agreement or a trust agreement.

US Department of the Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide additional information, such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don't provide the information requested or my identity can't be verified?

Our firm may not be able to open an account or carry out transactions for you.

All securities and services are offered through Regal Securities, Inc., Member FINRA / SIPC, a registered broker dealer. Securities products offered are not guaranteed or endorsed by Regal, are not FDIC insured and may lose value. None of the information contained herein should be construed as an offer to buy or sell securities or as a recommendation. Specific recommendations are based on a review of each client’s particular financial circumstances. Online trading has inherent risks due to loss of online services or delays from system performance, risk parameters, market conditions, and erroneous or unavailable market data.