Customer Identification Program

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:

  • Name
  • Date of Birth
  • Address
  • 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 documents.
    • 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 you.