Customer Identification Program

SEC Rule 605 and 606    FINRA Rule 2124    Customer Identification Program    Business Continuity Planning

Customer Identification Program

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 opens an account.
When you open an account, Puma Capital, LLC is required to collect the following information:

Date of birth
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 other identifying documents. 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 a trust agreement.
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.

If you don’t provide the information requested or your identity can’t be verified Puma Capital may not be able to open an account or carry out transactions for you. If Puma Capital has already opened an account for you, we may have to close it.


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