- - Name
- - Date of birth
- - Address
- - Identification number:
U.S. Citizen: taxpayer identification number (social security number or employer
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 you.
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
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and 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.