Open Account With Assistance

 

Please read the following disclosure of online open account carefully

1.       You have reached the majority age of 18 to open an account that Griffinest Asia Securities, LLC required.
2.       The information that you have provided us is current, accurate, truthful and complete. You agree to notify us promptly in writing of any substantial changes in any such information.
3.       You understand that you are responsible for selecting the account type that is appropriate for your needs and circumstance. 
4.       Identity Verification for Anti-Money Laundering PurposeGriffinest Asia Securities, LLC may ask you to provide various identification documents prior to opening an account. We will provide "Customer Identification Program Notice (C.I.P.)”, It describes in general the identification process. You acknowledge that you have received, read and sign it.
5.       We may reject your account application or close your account for any reason, in our sole and absolute discretion.
6.       You acknowledge that we do not and will not give investment, legal or tax advice or make securities recommendations. You agree that you are a self-directed investor and all orders entered are unsolicited and based on your own investment decisions or the investment decision of your duly authorized representative. You understand that you will not hold Griffinest Asia Securities, LLC or any of its employees liable for those investment decisions.
7.       You may invest in variety of mutual funds in your account through Griffinest Asia Securities, LLC. The information and services provided by Griffinest Asia Securities, LLC are not to be considered an offer to sell or a solicitation of an offer to buy a particular fund. Fund purchases may be subject to investment minimums, and all fund transactions are subject to acceptance by us and/or the fund company. By entering a mutual fund transaction through Griffinest Asia Securities, LLC, you acknowledge that you have received, read and understand the fund prospectus, which describes the risks associated with the investment. 
8.       As a member of FINRA, Griffinest Asia Securities, LLC  is required to disclose the availability of BrokerCheck, an online tool that provides information on FINRA registered firms. To access BrokerCheck , go to www.finra.org or call the hotline at 1-800-289-9999.
 
 

 

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