Customer Identification Program
Important Information You Need to Know About Opening a New Account
To help the government fight 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. This Notice answers some questions
about Imperial Capital, LLC’s (“Imperial”) Customer Identification Program.
What types of information will I need to provide?
When you open an account, Imperial is required to collect information such as the
following from you:
- Your name
- Date of Birth
- Identification number
- U.S. Citizen: taxpayer identification number (social security number or employer
identification number). You may also need to show your driver’s license or other
- 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.
- 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 trust agreement.
- U.S. Department of the Treasury, Securities and Exchange Commission, NASD, and New
York Stock Exchange rules already require you to provide additional information,
such as your net worth, annual income, occupation, employment information, investment
experience, investment objectives, and risk tolerance.
What happens if I don’t provide the information requested or my identity cannot
Imperial may not be able to open an account or carry out transactions for you.