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

PHOENIX
FINANCIAL SERVICES


NEW YORK MAIN OFFICE


100 Wall Street, 10th Floor
New York, NY 10005
E-mail: info@phoenixinc.com
Telephone: +1 (212) 776-4187

Fax: +1 (347) 287-6951

CONTACT US:

The information provided on this website or in any communication containing a link to this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Phoenix Financial Services or its affiliates to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site, constitutes a solicitation or offer by Phoenix Financial Services or its affiliates to buy or sell any securities, options or other financial instruments or provide any investment advice or service. Nothing herein should be regarded as a representation of future performance. Past performance is not indicative of future performance.

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