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 establishes a relationship with them.
This notice answers some questions about our Customer Identification Program.
What types of information will I need to provide?
When you establish a relationship with us, GB Capital Markets is required to collect the following information:
U.S. Department of the Treasury, Securities and Exchange Commission, and FINRA 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?
We may not be able to carry out transactions for you.