Secure Client Portal Certificate of Deposit Account Application Certificate of Deposit Account Application Please complete all sections accurately. This application is for new clients only. 1. Account Type & Primary Applicant Information Account Ownership Type Individual Joint Tenants (JTWROS) Payable on Death (POD) Primary Applicant Legal First Name Legal Middle Name Legal Last Name Date of Birth Social Security Number (SSN) Citizenship Residential Street Address City State Zip Code Email Address Mobile Telephone 2. Joint Applicant Information ⚠️ If you selected “Individual” for Account Ownership Type in Section 1, please leave this entire section blank. Legal First Name Legal Last Name Relationship to Primary Date of Birth Social Security Number (SSN) Citizenship Residential Street Address (if different from Primary) City State Zip Code Email Address Mobile Telephone Joint Applicant Financial & Employment Details Annual Income Select rangeUnder $50,000$50,000 – $99,999$100,000 – $199,999$200,000 – $499,999$500,000+ Total Net Worth (excluding primary residence) Select rangeUnder $100,000$100,000 – $499,999$500,000 – $999,999$1,000,000 – $4,999,999$5,000,000+ Occupation / Job Title Employment Status Select statusEmployedSelf-EmployedRetiredUnemployed 3. Primary Applicant: Financial Profile & Suitability Annual Income Select rangeUnder $50,000$50,000 – $99,999$100,000 – $199,999$200,000 – $499,999$500,000+ Total Net Worth (excluding primary residence) Select rangeUnder $100,000$100,000 – $499,999$500,000 – $999,999$1,000,000 – $4,999,999$5,000,000+ Liquid Net Worth (cash & marketable securities) Select rangeUnder $50,000$50,000 – $199,999$200,000 – $499,999$500,000+ Primary Investment Objective Select objectiveCapital PreservationIncomeGrowthSpeculation Investment Experience (Years) Select experienceNone1 – 3 Years4 – 10 YearsOver 10 Years Risk Tolerance Select toleranceConservativeModerateAggressive 4. Primary Applicant: Employment & Source of Funds Occupation / Job Title Employment StatusSelect statusEmployedSelf-EmployedRetiredUnemployed Primary Source of Deposit Funds Select sourceSalary / Employment IncomePersonal SavingsInvestment / Brokerage ProceedsInheritance / GiftBusiness Proceeds 5. Identity Verification (CIP/KYC) To comply with federal Customer Identification Program requirements, please upload clear, color scans. If Joint, please upload documents for both applicants. Primary Applicant: Government-Issued ID (Passport or Driver’s License) Primary Applicant: Proof of Address (Utility bill or bank statement < 90 days) Joint Applicant: Government-Issued ID (If applicable) Joint Applicant: Proof of Address (If applicable) 6. CD Selection & Funding Select CD Term Select CD Term 3-Month CD – 4.95% APY (Min. Deposit: $50,000) 6-Month CD – 5.45% APY (Min. Deposit: $100,000) 9-Month CD – 5.98% APY (Min. Deposit: $150,000) Deposit Amount (USD) Preferred Funding Method Select method ACH Transfer (External Bank Account) Wire Transfer (Domestic or International) Minimum deposit $50,000. Must be in increments of $10,000. External Bank Routing Number (if ACH) External Bank Account Number (if ACH) Maturity Instructions Return principal and final interest to my nominated bank account. Renew my CD subject to the bank’s renewal terms and prevailing rates. Contact me before maturity for further instructions. 7. Tax Certification (IRS Form W-9) Under penalties of perjury, I certify that: (1) The number shown on this form is my correct taxpayer identification number; and (2) I am not subject to backup withholding. I certify that my Taxpayer Identification Number (TIN/SSN) provided above is correct. I certify that I am a U.S. citizen or other U.S. person (as defined by the IRS). I certify that I am not subject to backup withholding. 8. Regulatory Disclosures & Agreements FDIC Insurance & Firm Status: Each CD is a direct obligation of the Issuer and is not, either directly or indirectly, an obligation of the Firm. The Firm is not an FDIC-insured depository institution. Your deposits, including your CDs, at each Issuer are insured by the FDIC up to $250,000 (including principal and accrued interest) for all deposits held in the same insurable capacity at the Issuer. SIPC Protection: The Firm is a registered broker-dealer and a Member of the Securities Investor Protection Corporation (SIPC), which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). Member FINRA. Fees: The Firm and the broker-dealer arranging for the CD to be offered will receive a placement fee from the Issuer of up to 30 basis points (0.30%) per annum of the principal amount of CDs purchased by you in the primary market. Secondary Market & Premiums: If you purchase a CD in the secondary market at a premium over the par amount, that premium is not insured by the FDIC. Therefore, if deposit insurance payments become necessary for the Issuer, the owner of a CD purchased in the secondary market can incur a loss of up to the amount of the premium paid. Call Feature: Some CDs may be subject to redemption on a specified date or dates at the sole discretion of the Issuer (a “call” feature). If the CD is called, you will be paid the outstanding principal amount and interest accrued up to, but not including, the call date. Arbitration Agreement: By opening this account, you agree that any controversy or claim arising out of or relating to this account or the services provided shall be settled by arbitration in accordance with the rules of FINRA. Privacy Notice: We collect nonpublic personal information about you from applications and transactions. We do not disclose this information to nonaffiliated third parties except as permitted by law. I have read, understand, and agree to the Account Agreement, CD Disclosure Statement, and Arbitration Agreement. I provide my electronic consent to receive all disclosures, statements, and notices electronically (E-Sign Act). 9. Application Declaration & E-Signature By signing below, I declare that the information provided is true and complete. I authorize the Firm to open this account on my behalf and verify the information provided. Primary Applicant Signature Printed Full Legal Name Date Electronic Signature [ Type your full legal name here to sign electronically ] Joint Applicant Signature (If Applicable) ⚠️ If you selected “Individual” for Account Ownership Type in Section 1, please leave this signature block blank. Printed Full Legal Name Date Electronic Signature [ Type your full legal name here to sign electronically ] Submit Application