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Regulatory Account Exceptions

  • Updated

For the following types of accounts, we will need to complete onboarding via paper form. 

  1. An account holder a control person of a publicly traded company (Director, Officer, or minimum 10% Stock Holder)
  2. Affiliated with, work with or work for a member firm of a Stock Exchange or FINRA
  3. Politically Exposed Person or Public Official (includes U.S. and Foreign Individuals)
  4. Employee of or affiliated with Zoe Securities

You can access the form here

 

Please pre-fill with client information, and send to clientsupport@zoefin.com