ACCOUNT DISCLOSURES

IMPORTANT INFORMATION YOU NEED TO KNOW ABOUT OPENING A NEW ACCOUNT
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.This Notice answers some questions about our Customer Identification Program.

WHAT TYPES OF INFORMATION WILL I NEED TO PROVIDE?

When you open an account, our firm is required to collect information such as the following from you:

 

Your Name

Date of Birth

Address

Identification Number

US 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 yourself.

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, FINRA, and the New York Stock Exchange 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 I DON’T PROVIDE THE INFORMATION REQUESTED OR MY IDENTITY CAN’T BE VERIFIED?

Our company may not be able to open an account or carry out transactions for you. If we have already opened an account for you, we 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.


Routing Disclosure-Rule 606

 

The U.S. Securities and Exchange Commission’s client disclosure rule, Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues.

please Click Here to find reporting.

DIRECT LINKS TO PHX FINANCIAL AND REPRESENTATIVES CRD

PHX FINANCIAL, INC.   144403

ALEX AKSENOFF 6172520

CARISSA MARCELLE ALEXANDER 7338765

Marco Awad 7486807

JOHAN BACKLIN 4504080

YAHTIEBO BAILEY 4658300

STEVE BAPTIST 5885870

MICHAEL BECKER 2592410

Zackary Blozen 6702277

MICHAEL JOSEPH BOCHICHIO 5989847

STEVEN BUSTO 2522780

BARIS CABALAR 4749342

George Lance Calhoun 5526834

RONALD CANTALUPO 3137208

SEAN CASE 3090136

DEIRDRE CATANIA 3165476

MICHAEL CECERE 3250479

KEVIN CHEN 4871316

STEROS CHRISTOFOROU 4407397

CARL CIRELLI 6738582

JOHN COLE 6098107

MARIA CUMMINGS 3243167

Thomas Michael Custance

ROBERT DELAPLAIN 1017107

DANIEL DIAZ 6871968

HAKIM DONADELLE 2477436

DONALD DURANDO 5509340

Katherine Estrella 6986075

Robert Garan 6652486

EDUARDO GERENA 3165444

ROBERT GILMAN 1738412

MARK Girshik 6766997

EMMANUEL GODDARD 2027316

OMAR HASSAN 2822053

EMMITT HENKEL 7489564

SEAN HOSEIN 4164630

KRISTINA HUH 6586238

JULIA IAVARONE 5021961

MICHAEL IAVARONE 2377723

CHRISTIAN INGRAO 5873263

EDWARD IRVIN 4382868

BERNARD JASMIN 4442394

Axel Benjamin Jean-Francois 7521195

RICHARD JIRINEC 2580370

Robert Kassoff 6953551

WAYNE KAUFMAN 2490476

MARK KETNER 1138522

ALEX KING 5842211

KELLY LAMONT 6266161

BRANDON LEON  5200595

ALI MAHLOOJI 4830105

MICHAEL MCCAULEY 6337375

PHILLIP MCKIE 6069747

JOSEPH MONTANA 5640919

EDWARD MOSELEY 833771

GREGORY OBRIEN 3154314

ALAN ORTEGA 2938647

DANIEL OTOYA 2208241

VLADIMIRO PANICHI 2740595

SERGE PARAKHNEVICH 5493064

JON PECORELLA 4246210

Jessica Potee 6593539

LEVI RACHMAN 5530213

Michael Rodriguez 7060357

JIMMY ROSARIO 5950561

Ira Rothblut 7287619

MATTHEW RYER 4655803

KIRT SAMUEL 4807353

JIM SCALA 2493873

NICK SCARIMBOLO

VINCENT SHARPE 5435813

Adam Elbaz Silberfeld 7520750

Aaron Anthony Smith 7518801

Edward Louis Sorrentino 7521059

ALEXANDER STERN 2471393

Brett Sullivan 7484425

DAVID TELLKAMP 1305864

ALAN TELLKAMP 4448196

TROY TORIAN 2841030

VINCENZO URSINO 5670361

VINCENT JOHN VILLANI 4296670

MICHAEL VOMERO 6458893

JASON JAMES WALSH 5758243

MAXIMILIAN YAZDZIK 6991064

BOTA YI 4906219

NICHOLAS JOHNATHAN YIANTSELIS 6953295