PATRIOT ACT DISCLOSURES

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT OR ESTABLISHING A NEW CLIENT RELATIONSHIP

To help the U.S. Government prevent the funding of terrorism and money laundering activities, U.S. Federal Law requires all U.S. financial institutions to obtain, verify, and record information that identifies each individual or institution that opens and account or established a client relationship with Stock Securities.

What this means for you: I you enter into a new client relationship with Stock Securities LLC (“Stock Securities”) we will ask for the following information:

Non-Individuals – Documents showing the existence and domicile of the legal entity, such as certified articles of incorporation, government-issued business license, partnership agreement, limited liability company operating agreement, trust agreement, etc. This information will be used to verify your identity. In addition, individual control persons in any legal entity will be asked to complete and submit Beneficial Ownership forms describing the nature of the control together with identification in the form of an unexpired government-issued identification evidencing residency and bearing a photograph (e.g., U.S. driver’s license copy, passport copy), or acceptable, similar identifying information so that Stock Securities may know the entity’s ultimate beneficial owners. As appropriate, we may at our discretion ask for additional documentation or information from and about you. If any requested documentation or information is not provided, Stock Securities may be unable to open an account or establish a relationship with you.

Accredited Investors/Individuals – Unexpired government-issued identification evidencing nationality and residency and bearing a photograph (e.g., driver’s license copy, passport copy).  In addition, other documents may be required according to our policies and procedures that enable Stock Securities to establish a reasonable belief that we know the true identity of the individual client.