Samuel A. Ramirez & Company, Inc.
Customer Identification Program Notice

Samuel A. Ramirez & Co., Inc. is subject to the USA PATRIOT Act (the "Act") which was passed as a result of the September 11, 2001 terrorist attacks. U.S. financial institutions must, among other things, verify the identity of all new clients, with the exceptions for certain types of accounts, as defined in the Act. What this means for you.

When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We will ask to see your driver's license or other government issued identifying documents.

A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, office, employer identification number, certified articles of incorporation, government-issued business license, partnership agreement or trust instrument.

U.S. Department of the Treasury and the Securities Exchange Commission, and FINRA rules already require you to provide most information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience, objectives and risk tolerance.

The law also requires firms to monitor a report to the government suspicious activity in clients’ accounts. All of us at Samuel A. Ramirez & Co., Inc. hope you understand and support this ongoing federal regulation.

What happens if I don't provide the information requested or my identity can’t be verified?

Samuel A. Ramirez & Co., Inc. may not be able to open an account or carry out transactions for you. If we have an already opened account for you, we are required to close it.

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