Xxxxxx Brothers
Customer Account Services
X.X. Xxx 0000
Xxx Xxxx, XX 00000-0000
________
Client Agreement CPI 3025
Before you sign this agreement, read it thoroughly and return this completed
and signed agreement to Xxxxxx Brothers at the address on the left side of
this page. Subsequently you will receive literature containing important
information about new accounts. Read the information carefully and retain it
for future reference.
Account Number
Branch Account T C IR
___________________________________________________________________________
Account Title/Name
___________________________________________________________________________
Account Title/Name
___________________________________________________________________________
Mailing Address
A. Client Acknowledgement. I (we) hereby acknowledge that I (we) have read,
understand and agree to the terms of this agreement. If this is a joint
account, we further acknowledge that we have read, understand and agree to
the terms of this agreement contained in paragraph 21. Note: Texas
residents must execute a Texas Joint Account Supplement agreement (form
3882). I (We) acknowledge that I (we) have received a copy of the agreement
which contains a pre-dispute arbitration clause at Paragraph 22; I (We) have
read it and agree to its terms.
1. Account Owner's Signature Date 2. Account Owner's Signature Date
___________________________________________________________________________
3. Account Owner's Signature Date 4. Account Owner's Signature Date
___________________________________________________________________________
B. Name Disclosure. Please indicate your choice as to the release or
withholding of your name, address and securities positions to issuing
corporations
NO, I do not want my name, address and securities positions disclosed to
any companies, upon their request, in which I own securities that are being
held for me at Xxxxxx Brothers Inc. ("Xxxxxx") or any firm acting as a
clearing broker for Xxxxxx.
Yes, I do want
C. Money Market Fund Agreement. Xxxxxx will be authorized (but not
required) to invest or "sweep" available cash in your account into one of its
money market funds unless you elect otherwise below. If you want to choose
a particular money market fund or you do not want available cash swept into
a money market fund, please indicate below. If you wish to discuss or change
your choice of money market funds, please contact your Investment
Representative.
(Note to Wisconsin residents: You must indicate below specifically whether
or not you wish to have a money market sweep for your account)
NO, I do not want cash balances in my account to be automatically swept
into a money market fund.
YES, I want the cash balances in my account automatically swept into the
fund of my choice.
D. Joint Account With Rights Of Survivorship. If the account has more than
one owner, this agreement establishes a Joint Account With Rights of
Survivorship. If you and the other account owners wish to establish a
Tenancy in Common instead, each of you must execute a Joint Account Agreement
As Tenants in Common in addition to this Client Agreement. Note: Texas
residents must execute a Texas Joint Account Supplement agreement (form
3882).
E. Margin Account Agreement. Complete this section only if you accept the
margin agreement described in paragraph 16 through 19 of this agreement.
In consideration of your opening and maintain in one or more margin accounts
on my behalf, I (we) hereby acknowledge that I (we) have read, understand and
agree to the terms of a margin account contained in paragraphs 16 through 19
of this agreement. By signing this agreement, I (we) acknowledge that my
(our) securities may be loaned to you or loaned out to others. If this is a
joint account, all parties must sign.
1. Account Owner's Signature Date 2. Account Owner's Signature Date
___________________________________________________________________________
3. Account Owner's Signature Date 4. Account Owner's Signature Date
___________________________________________________________________________
F. Tax Certification. Under penalties of perjury, I certify that the number
show below (and to the left) is my correct taxpayer identification number or
if not, then the number I have entered below (and to the right) is my correct
tax identification number, and that I am not subject to backup withholding
because (a) I have not been notified by the Internal Revenue Service (IRS)
that I am subject to backup withholding as a result of failure to report all
interest or dividends, or (b) the IRS has notified me that I am no longer
subject to backup withholding (see below), or (c) I am exempt from backup
withholding (see below). Note: You must cross out (b) above if you are
currently subject to backup withholding because of underreporting interest or
dividends on your tax return.
For those exempt from backup withholding (see instructions on page 4), write
the word "EXEMPT" here: ______________________
Note for joint accounts: The Social Security Number of this account is the
number of the client whose name appears first in the account title. Do not
enter the number of any other account owner.
The Social Security Number or Tax Identification Number on Xxxxxx Brothers'
records is:
Taxpayer Identification Number
The Social Security Number or Tax Identification Number shown to the left
is incorrect. The CORRECT number is:
Taxpayer Identification Number
