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CIP Notice | Privacy Statement | Margin Disclosure | Penny Stocks | Extended Hours | Route Report | Traders Responsibilities | Risk Disclosure 

Customer Identification Program Notice

Important Information You Need to Know
About Opening a New Account with Stock USA Execution Services

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 or entity that opens an account.

This Notice answers some questions about Stock USA Customer Identification Program.

What types of information will I need to provide?
When you open an account, Stock USA is required to collect information such as the following from you:

For Institutional Customers
A corporation, partnership, trust or other legal entity will be asked to provide its principal place of business, local office and tax identification number.  Other documents may need to be provided from certain institutions, such as certified articles of incorporation, government-issued business license, a partnership agreement,  trust agreement and/or other documents.

For Retail Customers (Individuals)

  • Name
  • Date of birth
  • Physical Address
  • Identification number:
    • U.S. Citizen: taxpayer identification number (social security number or employer identification number)
    • 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.
  • You may also need to show your driver’s license or passport

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 requested information is not provided or my identity can’t be verified?

Stock USA may not be able to open an account or carry out transactions for you.  If Stock USA has already opened an account for you, they may have to close it.

We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system.

 

 
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System response, trade executions and account access may be affected by market conditions, system performance, quote delays and other factors. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your financial resources and circumstances. Free level 2 quotes may be based on making minimum required trades, which may vary depending on software choice. Day trading will generate substantial commissions, even if the per trade cost is low.

All transactions are executed through Stock USA Execution Services Member FINRA, SIPC & NFA

Stock USA Execution Services is registered in all 50 states and Puerto Rico

CIP Notice | Privacy Statement | Margin Disclosure | Penny Stocks | Extended Hours | Route Report | Traders Responsibilities | Risk Disclosure 

 

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Summary: Offering active traders online trading, including direct access day trading software with free level 2 quotes, low commissions, full order routing with trailing stop orders, real time news, access to all US stock markets and intra-day charting. Real Fast Trader is an online brokerage firm website offering day trading and swing trading software for pre and post after hours stock market trading. We allow you to trade stocks. options and futures through one account and one level ii day trading software. DAS trader and Instaquote software manuals.