Below you will find important information regarding the account opening process at National Alliance Securities, LLC.
In an effort to assist the government in their fight against money laundering and terrorism within the United States, federal law mandates that all financial institutions obtain, verify and record specific information that identifies each person and/or entity that opens an account.
When opening an account at National Alliance Securities we are required by law to collect the following information from you:
- Your name
- Date of birth
- Social security number or employer identification number, or; if you are a non-U.S. citizen we will require a taxpayer identification number, passport number, country of issuance, alien identification card number or government-issued identification showing nationality, residence and a photograph of you.
- We also require a copy of your driver’s license or passport or any legal document with a photograph of you that has been issued by a state or federal authority.
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.
The U.S. Department of Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules require you to provide this information. These rules may also require you to provide additional information such as your net worth, annual income, occupation, employment information, investment experience and objectives as well as your risk tolerances.
If you refuse to provide the aforementioned information or if your identity can not be verified, we will not open an account and/or conduct transactions on your behalf. Please understand that National Alliance Securities will take the necessary precautions to assist the financial industry and U.S. government in their fight against terrorism and money laundering to maintain a fair and equitable market place.