The above offerings do not represent the universe of new issues and should not be construed as all-inclusive. Although content is continuously supplied, it is only valid as of the date published and may become unreliable because of subsequent market conditions or other reasons. Display of this information shall not constitute an offer to sell or the solicitation of an offer to buy nor shall there be any sale of the securities in any State in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities law of any such State. No offer to buy the securities can be accepted and no part of the purchase price can be received until the registration statement has become effective, and any such offer may be withdrawn or revoked, without obligation or commitment of any kind, at any time prior to notice of its acceptance given after the effective date.

Anti-Money Laundering & Customer Identification Program
The US Patriot Act requires broker-dealers to obtain, verify, and record information that identifies each person who opens an account. The purpose of this requirement is to help the government fight the funding of terrorism and money laundering activities. As such, we have adopted a Customer Identification Program and will request the following from you: name, residential or street address, date of birth, identification number represented by either: 1) social security/ tax identification; 2) valid passport; 3) alien identification card number; or 4) government issued identification. You may also be asked to provide a copy of your driver’s license or other identifying documents. Non personal entities such as corporations, partnerships, and trusts may need to provide other information such as employer identification number, principal place of business, articles of incorporation, partnership agreement, or trust agreement.

In addition to the above, the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority require broker-dealers to obtain information necessary so that financial guidance provided is appropriate and timely. Accordingly, we will ask you for information such as new worth, annual income, occupation, employment information, previous investment experience, investment objectives and risk tolerance.