Important Information About Opening a New Account
In order 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 every person who opens an account. The following addresses some key questions about the Customer Identification Program at Imperial Capital, LLC.
What kind of information will I need to provide?
When you open an account, Imperial Capital is required to collect your:
- 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 identifying
- 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 be verified?
Imperial Capital may not be able to open your account or carry out transactions for