Patriot Act

USA Patriot Act/Anti-Money Laundering Procedures and Customer Identification Program:

The USA PATRIOT Act (Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism) was enacted to strengthen the United States government’s ability to combat terrorist financing and money laundering. The USA PATRIOT Act requires financial institutions like Dominari Securities to obtain, verify, and record information that identifies each person or entity with a relationship at a financial institution. When opening an account, Dominari is required to obtain your name, address, tax information and other information and documentation that will be utilized to verify your identification. For accounts other than natural persons (e.g.: a corporation, partnership, or trust) Dominari will request identifying documents evidencing the existence of the entity, such as articles of incorporation, a government-issued business license, a partnership agreement or a trust agreement. The Firm will also request to see a valid government issued form of identification evidencing nationality or residence and bearing a photograph such as a driver’s license, passport or other identifying documents for the control persons or beneficiaries of the account. While Dominari may be required to disclose this information pursuant to applicable laws, rules, or regulations, it will otherwise be retained in confidence according to our Privacy Policy.

As required by federal law, if Dominari is unable to verify your identity, we will not be able to open an account or establish a relationship with you. Dominari reserves the right to request additional information or documentation at any time at its sole discretion. Material changes in account information should be forwarded in writing to Dominari’s Operations Department at the address below.

Dominari Securities LLC

725 Fifth Avenue – 23rd Floor

New York, NY 10022

(212) 383- 4500 or (800) 299-7618