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OPENING
AN ACCOUNT
If you are interested in opening an account
with Carolinas Investment Consulting LLC, please contact
any of our consultants through the contact information listed
with each bio or by calling our main number (704-643-2455).
Anyone opening an account should be aware that on April 30th,
2003, the Department of the Treasury and the Securities and Exchange
Commission issued Section 326 of the USA Patriot Act. This rule
requires that all financial firms assist in the prevention of
money laundering activities by knowing the true identities of
new customers.
To help the government fight the funding of
terrorism and money laundering activities, Federal law requires
all financial institutions to obtain, verify and record information
that identifies each person who opens an account. What this means
for a potential client of Carolinas Investment Consulting LLC
is that when an account is opened, we will ask for the name, address,
social security number, date of birth and other information that
will allow us to properly identify each person connected to the
account.
We will also require a physical copy of the
following documentation:
- For individual/joint accounts: Copy of a valid driver’s
license (unexpired) or a copy of a valid passport (unexpired)
or other current government issued identification.
- For corporate accounts or other entities: Documents demonstrating
the existence of the entity such as articles of incorporation,
a government issued business license, a partnership agreement
or a trust agreement, as well as appropriate resolutions identifying
authorized representatives to access the account.
We appreciate the patience and cooperation
of new clients as we support our nation’s defense against
money laundering and terrorism.
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