Anti-Money Laundering Disclosure

USA Patriot Act – Customer Identification Program Notice

Important Information regarding procedures for opening a New Account:
To assist the government in its fight against the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.

 Types of Information You Will Need to Provide to Weeden Prime:

Appropriate Identification numbers:

  • U.S. Citizens: taxpayer identification number (Social Security number or employer identification number)
  • Non-U.S. Citizens: 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.

U.S. Department of the Treasury, Securities and Exchange Commission, and FINRA rules already require you to provide most of this information.

These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance. If your identity cannot be verified, our firm may not be able to open an account or carry out transactions for you. If you and/or your firm have already opened an account, they may have to close it.

We thank you for your patience and hope that you will comply with our industry efforts.

Member: FINRA (www.FINRA.org)