Broker Check

Notice of Identity Verification

To help the government fight the funding of terrorism and money-laundering activities, and to verify your identity, federal law requires that Brown, Lisle/Cummings, Inc. (BL/C) and/or National Financial Services LLC (NFS), our clearing broker, obtain your namedate of birth,address, and a government-issued identification number (including social security number or tax identification number) before opening your account. In certain circumstances, BL/C and/or NFS may obtain and verify this information with respect to any person(s) authorized to effect transactions in an account. For certain entities, such as trusts, estates, corporations, partnerships, or other organizations, identifying documentation is also required. Your account may be restricted and/or closed if BL/C and/or NFS cannot verify this information. BL/C and/or NFS will not be responsible for any losses or damages (including but not limited to lost opportunities) resulting from any failure to provide this information, or from any restriction placed upon, or closing of, your account.