Finance Investment Application

FINANCE INVESTMENT APPLICATION

1. Applicant Information

Applicant Type: Individual Corporation LLC Trust Partnership Other:

Date of Birth:

2. Account & Investment Details

Account Type: Individual Joint Retirement Custodial

Proposed Investment(s): complete the proposed allocation and estimated amounts. Amounts should sum to Intended Total Investment Amount where applicable.

Estimated Subtotal: Tax (if applicable): Fees & Charges: Total Estimated Investment:

3. Investment Profile & Suitability

Investment Objectives (select all that apply): Capital Preservation Income Growth Speculation Long-term Growth

Risk Tolerance (select one): Low Moderate High

4. Source of Funds & AML Information

Primary Source(s) of Funds: Employment Business Income Inheritance Savings Sale of Assets Other:

Are you or any beneficial owner a politically exposed person (PEP)? Yes No

5. Representations, Warranties and Acknowledgements

By signing below, Applicant represents and warrants that Applicant is authorized to execute this Investment Application, that all information provided herein is true, complete and correct, and that Applicant will promptly notify the Firm of any material change in such information. Applicant further represents that the funds to be invested are not derived from illegal activity and that Applicant will provide supporting documentation upon request to satisfy anti-money laundering and know-your-customer requirements.

Applicant acknowledges that investments involve risk, including the possible loss of principal. Applicant confirms that Applicant has read and understands the Firm's risk disclosures and suitability criteria, and that Applicant's investment objectives and financial circumstances support the investments proposed on this Application.

Applicant certifies that Applicant is an accredited investor only if Applicant selects the certification below and initial review documentation has been or will be provided to the Firm. Applicant selection: I certify that I am an accredited investor under applicable definitions

Applicant authorizes the Firm to obtain such consumer, business, and credit reports, background checks, and verification of information as may be necessary to process this application and to monitor the account. Applicant consents to electronic delivery of account statements and communications unless otherwise requested in writing.

6. Fees, Charges and Conflicts

Applicant acknowledges that the Firm may charge fees, commissions, and other charges in connection with the acquisition, management, or disposition of investments. Such fees will be disclosed in account opening documents and confirmations. Applicant acknowledges that conflicts of interest may exist, and Applicant agrees the Firm may effect transactions for other clients that may be the same as or different from those executed for Applicant.

7. Privacy, Consent and Governing Law

Applicant consents to the collection, use and disclosure of personal information necessary to provide services requested, to comply with legal and regulatory obligations, and to perform due diligence. Applicant acknowledges that information may be retained and used in accordance with the Firm's policies. This Application and any dispute arising under or related to it shall be governed by the laws of the state specified in the Firm's account documents and venue for disputes shall be as provided therein.

8. Certifications & Signature

Certification: I certify under penalty of perjury that I am the person named as Applicant on this Application and that the information provided is true, correct, and complete to the best of my knowledge. I acknowledge that submission of this Application does not guarantee acceptance; the Firm may accept or reject the Application in its sole discretion and may require additional documentation prior to acceptance.

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