What types of information will I need to provide?
When you open an account, our firm is required to collect information such as the following from you:
- Your name
- Date of birth
- Address
- U.S. Citizen: taxpayer identification number (social security number or employer identification number)
- Non-U.S. 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.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange 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.
What happens if I don’t provide the information requested or my identity can’t be verified?
Your firm may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.
Have you experienced any problems with your advisor/representative or accounts?
Carter, Terry & Co. Inc. wants to ensure that all its customers are provided with the address and phone number of the department within the firm to address any problems or concerns. You can contact the Compliance Department at 1-800-848-9555 or by writing us at:
Carter, Terry & Co. Inc.
Attn: Compliance Department
3060 Peachtree Road
S-1400 Atlanta, GA 30305
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.
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