Fillable Form 1: Trust/Entity Information and Suitability Form

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Form 1: Trust/Entity Information and Suitability Form

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Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 1 of 10
Trust/Entity Information and Suitability Form
Please print, preferably in capital letters and black ink. All information requested is required unless optional is indicated.
NAFE
Social Security number or Tax ID CLIC Trade Key # FP code
Line
1
Line 2
Line 3
NFS Pershing Direct/Other (product company/outside platform/third-party money manager)
Is this a Cambridge financial professional personal or family securities account? Yes No
A. Registration Type
Trust C corporation S corporation Limited liability company
Limited liability partnership Partnership Non-profit corporation Non-profit organization
Unincorporated organization Estate Personal representative Investment club
Bank/Financial institution Church (FCCS accounts only) Charitable donation Individual 529 owned by trust
COLI/BOLI
B. NFS/Pershing Accounts Only Clearing account number (prefix required)
1. Delivery versus Payment (DVP)/Receipt versus Payment (RVP) (attach delivery instructions)
2. Cost basis Alternative Disposal Methods (ADMs) – Cost basis ADMs are available. For a list of ADMs and their definitions, please see Section 16 of the Client
Agreement. Choosing one of the ADMs will reset the account default. Please consult your tax advisor for guidance on the use of these methods.
Please specify alternative disposal method.
3. Limited Liability Partnership/Partnership/Limited Liability Company - Taxed as: C Corp S Corp Partnership Sole Proprietor Non Applicable
4. Core Transaction Account - Unless otherwise noted below, I/We agree to have any funds deposited for or held in anticipation of securities purchases, any income and
distributions from investments held in my/our Account, and any proceeds from the sale of securities (“Cash Sweep Balance”) automatically swept into the default cash
sweep program available to me/us based on my/our Account registration type. Please see Section 22 of the Client Agreement for information and disclosures.
I/we do not wish to have the Cash Sweep Balance in my/our Account swept into the default cash sweep program referenced above. Alternatively, I/we wish to have
my/our Cash Sweep Balance swept here:
5. Standing Instructions - I/We agree to the following instructions being placed on my/our Account unless I/we specify an alternative action through my/our selections
below: Sales – hold in Account; Purchases – hold certificates in street name; Dividends and capital gains – reinvest mutual fund dividends and capital gains, pay
equity dividends in cash and sweep any Cash Sweep Balance in my Account into i) the alternative cash sweep program specifically listed above or ii) the default cash
sweep program corresponding to my/our Account registration type
Select alternative options below if you desire to deviate from the Standing Instructions above.
Sales Dividends and Capital Gains (transferred positions may default to previous instructions)
Mutual funds Equities
Hold in account Reinvest
Send proceeds Credit sweep vehicle
Pay income monthly (complete separate form for pay income options)
Not all securities are eligible for reinvestment. Pershing: Equity and mutual fund reinvestment coding is established for each position by the financial professional on NetX360
®
/Holdings.
C. Pershing Accounts Only Add to existing NetXInvestor - Client ID
(Account will only be added if ID is provided and CIR has a complete form is on file stating to add accounts by SSN)
Country of Legal Establishment (choose one) United States Other
Trust/Entity name Establishment date (mm/dd/yyyy)
Legal U.S. Address (required – no P.O. Box) Mailing Address (optional – P.O. Box permitted)
Address 1 Address 2 Address 1 Address 2
City, state, zip City, state, zip
Business phone Email address (optional) – I agree that Cambridge may send communications by
email if I provide an email address.
PREFIX
1 – ACCOUNT REGISTRATION
2 - ACCOUNT INFORMATION
3 - TRUST/ENTITY INFORMATION
Reset Form
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 2 of 10
If there are more than two trustees/authorized signers, attach Additional Signers
Form.
Name (first, MI, last)
Social Security number or Tax ID
Exempt payee code (if any)
Birth date or Trust date (mm/dd/yyyy)
Marital Status
Single Married Domestic partner Widowed
Citizenship
(questionnaire required for resident alien, non-resident alien, or U.S. citizen living abroad)
U.S. citizen Resident alien Non-resident alien
Country of origin (for resident and non-resident aliens only)
Legal U.S. Address (required – no P.O. Box)
Address 1 Address 2
City, state, zip
Mailing Address (optional – P.O. Box permitted)
Address 1 Address 2
City, state, zip
Daytime/Work phone Evening/Home phone
Email address (optional) – I agree that Cambridge may send communications by
email if I provide an email address.
USA PATRIOT Act Information (required by federal law)
Driver’s license Passport State issued ID Other:
Alien registration card – required for all resident aliens
Non-documentary – subject to non-documentary procedures
Document number State/Country issued
Expiration date (mm/dd/yyyy) Date issued (mm/dd/yyyy)
Reason ID Documentation Not Required:
Documentation already on file at Cambridge Exempt or entity
Employment Information for Trustee/Authorized Signer
Employed Self-employed Retired Student
Not employed/Not applicable
Occupation (if self-employed, specify nature of business)
Name of employer
Employer address (required if employed or self-employed)
City, state, zip
If there are more than two trustees/authorized signers, attach Additional Signers
Form.
Name (first, MI, last)
Social Security number or Tax ID
Exempt payee code (if any)
Birth date or Trust date (mm/dd/yyyy)
Marital Status
Single Married Domestic partner Widowed
Citizenship
(questionnaire required for resident alien, non-resident alien, or U.S. citizen living abroad)
U.S. citizen Resident alien Non-resident alien
Country of origin (for resident and non-resident aliens only)
Legal U.S. Address (required – no P.O. Box)
Address 1 Address 2
City, state, zip
Mailing Address (optional – P.O. Box permitted)
Address 1 Address 2
City, state, zip
Daytime/Work phone Evening/Home phone
Email address (optional) – I agree that Cambridge may send communications by
email if I provide an email address.
USA PATRIOT Act Information (required by federal law)
Driver’s license Passport State issued ID Other:
Alien registration card – required for all resident aliens
Non-documentary – subject to non-documentary procedures
Document number State/Country issued
Expiration date (mm/dd/yyyy) Date issued (mm/dd/yyyy)
Reason ID Documentation Not Required:
Documentation already on file at Cambridge Exempt or entity
Employment Information for Additional Trustee/Authorized Signer
Employed Self-employed Retired Student
Not employed/Not applicable
Occupation (if self-employed, specify nature of business)
Name of employer
Employer address (required if employed or self-employed)
City, state, zip
4A - TRUSTEE/AUTHORIZED SIGNER INFORMATION 4B - ADD’L TRUSTEE/AUTHORIZED SIGNER INFORMATION
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 3 of 10
Trusted Contact Information is defined in Section 24.
Name (first, MI, last) Relationship to primary/Joint investor
Address City, state, zip
Daytime/Work phone Evening/Home phone
Email (optional)
Refers to Trust or Entity
Annual Income <$20,000 $20,000-$50,000 $50,000-$100,000 $100,000-$200,000 $200,000-$500,000 >$500,000
Net Worth Total assets minus total liabilities, excluding primary residence, but including all other personal holdings
<$50,000, must specify: $ .00 $50,000-$100,000 $100,000-$250,000 $250,000-$500,000 $500,000-$1 million
$1–$2 million >$2 million, must specify: $ .00
Federal Tax Bracket %
Net Investable Assets $ .00 (Sum of all investable assets, including outside holdings, minus liabilities, on these assets)
Risk Tolerance and Investment Objectives are defined in Sections 19 and 21.
Please select the one objective below that would best describe the risk tolerance and investment objective for this registration type and/or account(s).
Conservative Moderate-conservative Moderate Moderate-aggressive Aggressive
Current Income Current Income Current Income High Current Income High Current Income
High Current Income High Current Income High Current Income Growth and Income Growth and Income
Growth and Income Growth and Income Growth and Income Growth Growth
Growth Growth Growth Speculation Speculation
Affiliation Information - Are you, your spouse, immediate family members or
dependents:
1. A political official? Yes No If yes, please check appropriate choice(s):
Elected official who has legal authority to hire a professional for their affiliated
government entity
Elected official who has appointment authority, or can influence the hiring, of a
financial professional for their affiliated government entity
No potential influence to hire a financial professional for government entity
2. Employed by or associated with the securities industry (for example, a sole
proprietor, partner, officer, director, or branch manager of a broker-dealer firm) or
a financial regulatory agency?
Yes, FINRA
Yes, RIA
Yes, state or federal securities regulator
Yes, broker-dealer or municipal securities dealer
If this is a brokerage account (capable of trading municipal securities) and
the account owner is employed by a broker dealer or municipal securities
dealer other than Cambridge Investment Research, Inc. or is the spouse
or minor child of such employee, please complete the Affiliated Persons
Form and submit with this document.
No
3. A director, 10 percent shareholder, or policy-making officer of a publicly traded
company?
Yes, please list name and symbol of the company No
4. A senior military, governmental, or political official of a non-U.S. country?
Yes, please list name of country and complete Politically
Exposed Persons Form and submit with this document
No
Affiliation Information - Are you, your spouse, immediate family members or
dependents:
1. A political official? Yes No If yes, please check appropriate choice(s):
Elected official who has legal authority to hire a professional for their affiliated
government entity
Elected official who has appointment authority, or can influence the hiring, of a
financial professional for their affiliated government entity
No potential influence to hire a financial professional for government entity
2. Employed by or associated with the securities industry (for example, a sole
proprietor, partner, officer, director, or branch manager of a broker-dealer firm) or
a financial regulatory agency?
Yes, FINRA
Yes, RIA
Yes, state or federal securities regulator
Yes, broker-dealer or municipal securities dealer
If this is a brokerage account (capable of trading municipal securities) and
the account owner is employed by a broker dealer or municipal securities
dealer other than Cambridge Investment Research, Inc. or is the spouse
or minor child of such employee, please complete the Affiliated Persons
Form and submit with this document.
No
3. A director, 10 percent shareholder, or policy-making officer of a publicly traded
company?
Yes, please list name and symbol of the company No
4. A senior military, governmental, or political official of a non-U.S. country?
Yes, please list name of country and complete Politically
Exposed Persons Form and submit with this document
No
4A - TRUSTEE/AUTHORIZED SIGNER INFORMATION (CONT.)
4B – ADD’L TRUSTEE/AUTHORIZED SIGNER INFORMATION (CONT.)
6 - FINANCIAL INFORMATION
7 - RISK TOLERANCE AND PRIMARY INVESTMENT OBJECTIVE
5 - TRUSTED CONTACT INFORMATION
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 4 of 10
8 - SECONDARY INVESTMENT OBJECTIVE
If appropriate, please select up to two secondary investment objectives that coincide with any additional investments for this registration type and/or account(s). These choices
will allow for additional investments outside of the primary objective identified above, assuming that the value of these investments do not move the entire portfolio out of the
range suggested by the primary investment objective identified above.
Current Income High Current Income Growth and Income Growth Speculation
9 - TIME HORIZON AND LIQUIDITY NEEDS
Refers to Trust or Entity
Account Time Horizon 0-2 years 2-5 years 5-10 years 10+ years
Annual Expenses $ .00 (recurring - might include mortgage payments, rent, long-term debts, utilities, etc.)
Estimated Special Expenses $
.
00 (future, non-recurring - might include real estate purchase, home remodel, car purchase, education, etc.)
Special Expenses Time Frame 0 years 1-2 years 2-5 years 5+ years
Use one number to signify investment experience for each investment category: 1 – None 2 – Occasional 3 – Frequent 4 – Extensive
Stocks Bonds Options Commodities Real estate Mutual funds Insurance/Annuities
REITs/DPPs/LPs Other:
Please list current trust/entity holdings outside Cambridge. For insurance/annuities, please use cash value. If there are no outside assets, mark None.
None
Stocks $ .00 Bonds $ .00 Options $ .00
Commodities $ .00 Real estate $ .00 Mutual funds $ .00
Insurance/Annuities $ .00 REIT/DPP/LP $ .00 Cash/Bank products $ .00
Unspecified $ .00 Interval funds $ .00 Other $ .00
If this account is owned or controlled by more than one individual or entity, “I” refers to all account owners. Under penalties of perjury, I certify that: (1) the number shown on
this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and (2) I am not subject to backup withholding because I am exempt
from backup withholding, or I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest
or dividends, or the IRS has notified me that I am no longer subject to backup withholding; and (3) I am a U.S. citizen or other U.S. person; and (4) The FATCA code(s)
entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. I understand that if I have been notified by the IRS that I am subject to backup
withholding as a result of dividend or interest underreporting and I have not received a notice from the IRS advising that backup withholding is terminated, I must cross out
item 2 above.
By signing below, I represent and warrant that the information provided on this Trust/Entity Information and Suitability Form and the identification presented to verify
my identity is true and accurate. I represent that I will notify Cambridge in writing immediately if there is any material change in the information I have provided and I
acknowledge that I have received, read, understand, and agree to be bound by and to abide by all of the terms and conditions set forth in this Trust/Entity Information and
Suitability Form, including the Client Agreement which is incorporated into this Trust/Entity Information and Suitability Form by reference. Cambridge may use third parties
to perform administrative tasks on its behalf such as preparation of account applications and other account forms. I acknowledge that I am solely responsible for reviewing
my account documentation for accuracy and completeness. I attest that I have received the Form CRS and/or Reg BI Disclosure, as applicable, prior to or at the time of the
recommendation to establish this account.
By signing below, I authorize the sharing of my nonpublic personal information in accordance with the Cambridge Privacy Policy (please see the last pages of
the Client Agreement). I will contact the Cambridge Compliance Department by calling 800-777-6080 if I do not want this information shared with non-affiliated
third parties. By signing below, I consent to the review of email correspondence exchanged between me and my financial professional. Such review is required
of Cambridge pursuant to regulation. The Client Agreement on the following pages hereof contain a pre-dispute binding arbitration and disclosure agreement in
Section 18 of the Client Agreement, and certain other provisions which may substantially affect my rights. By signing below I acknowledge receipt of this pre-
dispute binding arbitration and disclosure agreement. By signing below, I acknowledge that I have read the entire Trust/Entity Information and Suitability Form
(pages 1-8), including the Client Agreement (pages 5-8).
Signature of trustee/authorized signer Date
Signature of additional trustee/authorized signer Date
Financial professional (print name) FP code
Signature of financial professional
1
Date
Supervisor approval (if applicable) Date
Home office approval Date
1
My signature indicates that I have reviewed the identification(s) presented by the above client(s), and certify that, to the best of my knowledge, the identification is genuine
and unaltered and truly represents the identity of my client(s), or I have relied upon the non-documentary procedures.Additionally, I attest that I have provided the Form CRS
and/or Reg BI Disclosure, as applicable, to my client prior to or at the time of the recommendation to establish this account.
10 - INVESTMENT EXPERIENCE
11 - SIGNATURES
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 5 of 10
TO: CAMBRIDGE INVESTMENT RESEARCH, INC. (Cambridge) in consideration of Cambridge effecting securities trades for my account and/or
performing investment supervisory services, I agree as follows:
1. Nature of Services Provided: I understand that all information supplied by the undersigned will be subject to verification and that the information on this application
is correct. I understand that I have entered into a binding agreement with Cambridge, a broker-dealer and member FINRA and SIPC, and have established an account
with Cambridge. Therefore, I understand that I should not deliver cash, traveler’s checks, or money orders or make checks payable to my financial professional or his/
her business entity to purchase securities.
2. Authority and Ownership: I have the required legal capacity, am authorized to enter into this Client Agreement, and have obtained and will provide Cambridge with
all necessary authorizations from third parties to open accounts and effect transactions in securities under this Client Agreement. I will be the owner of securities pur-
chased, held, and sold by me through Cambridge.
3. No Advice: I understand that Cambridge provides no tax or legal advice and that my financial professional may provide tax or legal advice in his/her separate capacities
as a CPA, enrolled agent, or attorney.
4. Appointment of Cambridge as Agent: Cambridge is a registered broker-dealer. I appoint Cambridge as my agent for the purpose of carrying out my directions with
respect to the purchase or sale of securities. To carry out its duties, Cambridge is authorized to open or close brokerage accounts, place and withdraw orders, provide
information to third parties, and take such other steps as are reasonable to carry out my directions. As applicable, I authorize Cambridge to retrieve my historical trans-
action and position data from former broker-dealers and/or product sponsors where my account(s) are or have been held, and from Albridge Solutions.
5. Abandoned or House Accounts: If it is determined that your account no longer has a registered representative of Cambridge associated with it, then Cambridge will
code your account as a House account and will provide you with separate written notification that Cambridge does not have internal staff to monitor House accounts.
With the notification that your account has been assigned as a House account, Cambridge will explain your options for transfer or liquidation of your account and indi-
cate a deadline for such transfer or liquidation. If you fail to respond in a timely manner to Cambridge’s notification and request for you to provide transfer or liquidation
instructions, then Cambridge is authorized to liquidate all positions in your account and will send a check to you at the address of record for your account in the amount
of the liquidation proceeds less the payment of all debits and costs of liquidation.
6. Extraordinary Events: Cambridge shall not be liable for loss caused directly or indirectly by war, terrorism, natural disasters, government restrictions, exchange or
market rulings, or other conditions beyond Cambridge’s control, including but not limited to extreme market volatility or trading volumes.
7. Governing Law: This Client Agreement and its enforcement shall be governed by the laws of the state of Iowa without giving effect to the conflicts of law provisions
thereof; shall cover individually and collectively all accounts I may open or reopen with Cambridge, and shall inure to the benefit of Cambridge’s successors and as-
signs, whether by merger, consolidation, or otherwise, and Cambridge may transfer such account of the undersigned to Cambridge’s successors and assigns, and this
Client Agreement shall be binding upon the heirs, executors, administrators, successors, and assigns of the undersigned.
8. Amendments: Cambridge may amend the terms and conditions set forth in this Client Agreement in any respect from time to time and any such amendments shall
become effective immediately upon providing written notice to you at your last known address, including an electronic address if authorized by you, as shown in the
records of Cambridge. Your continued account activity constitutes your agreement to be bound by such amendments to these terms and conditions.
9. Compensation for Routing Orders: Please be advised that Cambridge will receive remuneration, compensation, or other consideration for directing client orders
to particular broker-dealers or market centers for execution. Unpriced orders can be executed at prices superior to the displayed national best bid or offer and the time
the order is received. The source and nature of any compensation received in connection with your particular transaction will be furnished upon request to Cambridge.
A detailed explanation of order routing will be provided to you on an annual basis.
10. Service Charges: Cambridge and its clearing firms may charge certain fees or service charges from time to time for services including, but not limited to, wire fees,
overnight check fees, annual custody and record keeping fees, stop payment fees, bounced check fees, extensions, physical delivery of securities, inactive account
fees, account closing fees, paper statement fees, paper confirm fees, and voluntary account transfers. Cambridge and its clearing firms, upon 30 days written notifica-
tion, may modify any fees or service charges applicable. You should contact your financial professional or the Cambridge Operations Department at 888-245-0452 to
determine the full range of fees charged and the amount of any specific fee.
11. FINRA Disclosure Program: The Financial Industry Regulatory Authority (FINRA) requires that Cambridge provide the following information concerning FINRA’s
public disclosure program: FINRA’s public disclosure program hotline number is 800-289-9999; FINRA’s website address is www.finra.org. An investor brochure that
includes information describing the public disclosure program may be obtained from FINRA.
12. SIPC Member Disclosure: Cambridge is a member of the Securities Investor Protection Corporation (SIPC). You may obtain information about SIPC, including the
SIPC Brochure, at www.sipc.org or by phone at 202-371-8300.
13. Concerns or Complaints: If you have any concerns or complaints regarding your account, you may contact Cambridge’s Compliance Department directly at 800-
777-6080. Any correspondence should be directed to: Cambridge Investment Research, Inc., Attn.: Compliance Department, 1776 Pleasant Plain Road, Fairfield, Iowa,
52556.
14. Communication: All communications sent to the account address of record, whether by mail, telegraph, messenger, or email address provided on the Client Informa-
tion and Suitability Form, or otherwise, shall be deemed given to the undersigned personally, whether actually received or not. I agree that Cambridge may send all
communications by email if I provide an email address. Cambridge may continue to send communications to the email address on the Client Information and Suitability
Form until Cambridge is notified in writing of a new email address or that I will no longer have an email address.
CAMBRIDGE INVESTMENT RESEARCH, INC.
CLIENT AGREEMENT
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 6 of 10
15. Cost Basis Alternative Disposal Methods (ADMS)
Highest Cost (HICO) – Shares with the highest purchase price are redeemed first.
Highest Cost, Long-term (HICL) – Shares purchased more than one year ago with the highest purchase price are redeemed first. If no or an inadequate number of
long-term shares are identified, then the short-term shares with the highest purchase price will be redeemed.
Highest Cost, Short-term (HICS) – Shares purchased less than one year ago with the highest purchase price are redeemed first. If no or an inadequate number of
short-term shares are identified, then the long-term shares with the highest purchase price will be redeemed.
First In, First Out (FIFO) – Shares with the earliest purchase date are the first shares redeemed.
Last In, First Out (LIFO) – Shares with the most recent purchase date are the first shares redeemed.
Lowest Cost (LOCO) – Shares with the lowest purchase price are redeemed first.
Lowest Cost, Long-term (LOCL) – Shares purchased more than one year ago with the lowest purchase price are redeemed first. If no or an inadequate number of long-
term shares are identified, then the short-term shares with the lowest purchase price will be redeemed.
Lowest Cost, Short-term (LOCS) – Shares purchased less than one year ago with the lowest purchase price are redeemed first. If no or an inadequate number of short-
term shares are identified, then the long-term shares with the lowest purchase price will be redeemed.
Tax Sensitive (TXSN) – NFS Only – A global rate (35 percent short-term and 15 percent long-term) will be used to calculate short-term and long-term gain or loss. The
tax rate will be multiplied by gross gain or loss to determine tax liability. The tax liability divided by quantity will result in the tax per share. The lot with the lowest tax per
share is depleted first.
16. Net Investable Assets
A definition of investable assets includes:
(i) securities (as defined in the Securities Act), except for securities of issuers controlled by the Investor (“Control Securities”), (exceptions apply, see Compliance);
(ii) futures contracts or options thereon held for investment purposes;
(iii) physical commodities held for investment purposes;
(iv) swaps and other similar financial contracts entered into for investment purposes;
(v) real estate held for investment purposes; and
(vi) cash and cash equivalents held for investment purposes.
17. Pre-Dispute Arbitration and Disclosure Agreement
The following disclosure is required by various regulatory bodies but should not limit the applicability of the following arbitration provision to or in any claim or contro-
versy which may arise between you and Cambridge. This Agreement contains a predispute arbitration agreement, the parties agree as follows:
a. All parties to this Agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the
arbitration forum in which a claim is filed.
b. Arbitration awards are generally final and binding; a party’s ability to have a court reverse or modify an arbitration award is very limited.
c. The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
d. The arbitrators do not have to explain the reason(s) for their award unless, in an eligible case, a joint request for an explained decision has been submitted by
all parties to the panel at least 20 days prior to the first scheduled hearing date.
e. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
f. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be
brought in court.
g. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, are hereby incorporated into this Agreement.
h. Pre-arbitration discovery is generally more limited than and different from court proceedings.
i. Any party’s right to appeal or seek modifications of rulings of the arbitrators is strictly limited.
j. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be
brought in court. If at the time a demand for arbitration is made or an election or notice of intention to arbitrate is served, the claims sought to be arbitrated
would have been barred by the relevant statute of limitations or other time bar, any party to this agreement may assert the limitations as a bar to the arbitration
by applying to any court of competent jurisdiction, and the parties expressly agree that any issues relating to the application of a statute of limitations or other
time bar, are referable to such a court. The failure to assert such bar by application to a court, however, shall not preclude its assertion before the arbitrators.
This agreement to arbitrate does not constitute a waiver of the right to seek a judicial forum where such waiver would be void under the federal securities laws.
k. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, are hereby incorporated into this Agreement.
l. The award of the arbitrators or of the majority of them shall be final, and judgment upon the award rendered may be entered in any court, state or federal,
having jurisdiction.
m. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who
has initiated in court a putative class action; or who is a member of a putative class action who has not opted out of the class with respect to any claims
encompassed by the putative class action until:
1. the class certification is denied; or
2. the class is decertified; or
3. the client is excluded from the class by the court.
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 7 of 10
Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this Agreement except to the extent stated herein.
You agree, and in consideration of Cambridge carrying an account for you, Cambridge agrees, that all controversies which may arise between us, including any dispute
involving Cambridge’s present or former agents, employees, officers, and directors and including, but not limited to, those involving transactions in any account you
have individually or jointly with or on behalf of another party at Cambridge, including those in which you have a beneficial interest, or the construction, performance,
or breach of this or any other agreement between us, whether entered into prior, on, or subsequent to the date hereof, shall be fully and finally determined by binding
arbitration conducted before, and only before, the arbitration panel set up by the Financial Industry Regulatory Authority (FINRA) in accordance with its arbitration
procedures. Any arbitration under this Agreement will be conducted pursuant to the Federal Arbitration Act and the Laws of the state of Iowa.
• A copy of this arbitration agreement is hereby given to you, who shall acknowledge receipt thereof on this Agreement.
• If you file a complaint in court against Cambridge that contains claims that are subject to arbitration pursuant to this arbitration agreement, Cambridge may seek
to compel arbitration of the claims that are subject to arbitration. If Cambridge seeks to compel arbitration of such claims, Cambridge must agree to arbitrate
all of the claims contained in the complaint if you so request. If Cambridge seeks to compel arbitration of the claims you have filed in court that are subject to
arbitration, you expressly agree to reimburse all fees, costs, and expenses incurred by Cambridge to enforce the arbitration provisions of this agreement unless
FINRA arbitration procedures permit the claim to be filed in court or enforcement of this provision would limit or contradict FINRA arbitration procedures.
By signing the Client Information and Suitability Form, you acknowledge that you are aware that this Agreement contains a binding arbitration provision that may be
enforced by the parties.
18. Investment Information About Procedures for Opening a New Account with Cambridge: To help the government fight the funding of terrorism and money laun-
dering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What does this
mean to you? When you open an account, Cambridge will ask for your name, address, date of birth, and other information that will allow us to identify you. Cambridge
will also ask to see your driver’s license or other identifying documents and record specific information on your account application in order to comply with federal law,
unless circumstances provide for non-documentary verification. If Cambridge must use the non-documentary verification procedure, your signature(s) below, serves
as your written authorization to us to proceed with non-documentary identification verification. If you refuse to authorize us to verify your identity, Cambridge, at its
discretion, may refuse to accept your account pursuant to the requirements of, and in compliance with, the USA PATRIOT Act, Section 326 - Customer Identification
Program.
19. Investment Objective Definitions:
Current Income – Investors who have a primary investment goal of a predictable stream of current income. These investors seek investments that will, to the extent
possible, protect their principal investment from market fluctuations.
High Current Income – Investors who have a primary investment goal of immediate income from their investments. These investors seek income producing investments.
Growth & Income – Investors who have a primary investment goal of both appreciation of their principal investment and some current income. These investors are
willing to accept moderate risk and potential loss of principal during market fluctuations, or potential loss of principal and illiquidity in their investments.
Growth – Investors who have a primary investment goal of appreciation of their principal investment and little focus on current income. These investors use this
approach seeking increases in market value but are also willing to accept moderate to high risk and potential loss of principal during market fluctuations, or potential loss
of principal and illiquidity of their investments.
Speculation – Investors who have a primary investment goal of maximum appreciation of their principal investment and short-term trading profits. These investors also
accept the maximum risks associated with speculative investments, including the potential for an entire loss of principal and illiquidity of their investments.
20. Secondary Investment Objectives:
Secondary investment objectives allow for additional investments to be made outside of the primary investment objective for the registration/ account(s). This additional
investment, while outside of the objective identified above, represents a small percentage of the portfolio and thereby does not affect the overall investment objective.
21. Risk Tolerance Definitions:
Conservative – Investor is seeking to preserve principal in their account with minimal risk. These investors are willing to accept lower income or returns, and their ac-
count may not keep pace with inflation.
Moderate-Conservative – Investor is willing to accept low risk to their initial principal, including low volatility, to seek a modest level of portfolio returns.
Moderate – Investor is willing to accept some risk to their initial principal and tolerate some volatility to seek higher returns. These investors understand money invested
could be lost due to market fluctuation.
Moderate-Aggressive – Investor is willing to accept significant risk to their initial principal, including high volatility, to seek higher returns over long-term investing.
These investors may endure large losses in favor of potentially higher long-term returns.
Aggressive – Investor is willing to accept maximum risk to their initial principal to aggressively seek maximum returns. These investors understand that most, or all, of
the money invested potentially could be lost.
22. FDIC Insured Cash Sweep Vehicle Information: The FDIC Insured Cash Sweep Program (“Program”) is designed to allow you to take advantage of the insurance
provided through the Federal Deposit Insurance Corporation (FDIC). This Program is offered to help you manage uninvested cash in your account. Uninvested cash
may consist of any funds deposited for or held in anticipation of securities purchases, any income and distributions from investments held in your account, and any
proceeds from the sale of securities (“Cash Sweep Balance”). The Program is available to individuals, certain non-profit organizations, certain fiduciaries and trusts,
and business entities including corporations, limited liability companies, and partnerships. Certain custodial individual retirement accounts may also be eligible for the
Program. Eligibility for the Program is subject to the limitations described in the Program documents. We reserve the right to amend the Program eligibility requirements
at any time. Please check with your financial professional if you have questions about the eligibility of your account.
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 8 of 10
FDIC insurance is available on the Cash Sweep Balance in your account only, and does not apply to investment products held in your account. For more information
about the FDIC, please visit www.fdic.gov.
If your account is enrolled in the Program, an additional letter summarizing the Program, rates of interest, and the various banks participating in the Program will be
mailed to your address of record. For a listing of banks in the Program, interest rates or for more information on eligibility for the FDIC Insured Cash Sweep Program,
please visit the “Information for Investors” section on www.cir2.com. If you wish to opt out of a particular bank in order to maximize your FDIC insurance coverage,
please contact your financial professional or call Cambridge Partner Support directly at 888-245-0452.
For Pershing accounts only: If your account is not eligible for FDIC insurance, then the Federated Government Reserves Fund (GRFXX) or Federated Trust for U.S.
Treasury Obligations (TCSXX) may be used.
For NFS accounts only: If your account is not eligible for FDIC insurance, then the Fidelity Government Reserves Fund (FZAXX) or Fidelity Treasury fund (FZFXX) may
be used.
23. Liquidity Needs
Annual expenses - might include mortgage payments, rent, long-term debts, utilities, etc.
Special expenses - might include a real estate purchase, remodeling, a car purchase, education, etc.
24. Trusted Contact: If we are unable to reach you or have concerns about your health, you authorize us, but not require us, to contact the person listed on page 3, section
5, and to disclose information about you in order to confirm the specifics of your current contact information, health status, and the identity of any legal guardian, executor,
trustee, or holder of a power of attorney.
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 9 of 10
Privacy Policy Rev. 05/11
FACTS WHAT DOES CAMBRIDGE DO WITH YOUR PERSONAL INFORMATION?
Why?
Financial companies choose how they share your personal informaon. Federal law gives consumers the right
to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your
personal informaon. Please read this noce carefully to understand what we do.
What?
The types of personal informaon we collect and share depend on the product or service you have with us. This
nancial informaon can include, but is not limited to, the following:
• Social Security Number
• Investment Experience
• Assets
• Account Numbers
• Income
• Account Transacons
• Contact Informaon
• Account Balance
When you are no longer our customer, we connue to share your informaon as described in this noce.
How?
All nancial companies need to share customers’ personal informaon to run their everyday business. In the
secon below, we list the reasons nancial companies can share their customers’ personal informaon, the
reasons Cambridge chooses to share, and whether you can limit this sharing.
Reasons we can share your personal informaon: Does Cambridge
Share?
Can you limit this
sharing?
For our everyday business purposes –
Such as to process your transacon, maintain your account(s),
respond to court orders and legal invesgaons, or report to credit
bureaus
Yes No
For our markeng purposes –
To oer our products and services to you
Yes No
For joint markeng with other nancial companies Yes No
For our aliates’ everyday business purposes –
Informaon about your transacons and experiences
Yes No
For our aliates’ everyday business purposes –
Informaon about your creditworthiness
No We don’t share
For nonaliates to market to you –
Only if your nancial professional leaves Cambridge, reres or sells
his or her pracce
Yes Yes
To limit our sharing
Call 800-777-6080 and ask for the Compliance Department.
Please note:
If you are a new customer, we can begin sharing informaon 30 days from the date we sent this
noce. When you are no longer our customer, we connue to share your informaon as described
in this noce.
However, you can contact us at any me to limit our sharing.
Quesons?
Call 800-777-6080 and ask for the Compliance Department.
Cambridge Investment Research, Inc.
Cambridge_ClientInformationandSuitabilityTrustEntityForm_101518.3 Page 10 of 10
Privacy Policy Rev. 05/11
Who we are
Who is providing this
noce?
This noce is being provided on behalf of Cambridge Investment Research, Inc. (“Cambridge”) and its
Aliates, Cambridge Investment Research Advisors, Inc., Connuity Partners Group LLC, TBS Agency, Inc.
What we do
How does
Cambridge protect
my personal
informaon?
To protect your personal informaon from unauthorized access and use, we use security measures that
comply with federal law. These measures include computer safeguards and secured les and buildings.
Cambridge trains its associates on the proper handling of personal informaon and requires companies
that help provide services to you to protect the condenally of personal informaon they receive.
How does
Cambridge collect
my personal
informaon?
We collect your personal informaon, for example, when you:
• Open an account
• Direct us to buy securies
• Give us your contact informaon
• Seek advice about your investments
• Enter into an investment advisory contract
We also collect your personal informaon from others, such as credit bureaus, aliates, or other
companies.
Why can’t I limit all
sharing?
Federal law gives you the right to limit only:
• Sharing for aliates’ everyday business purposes – informaon about your creditworthiness
• Aliates from using your informaon to market to you
• Sharing for nonaliates to market to you
State laws and individual companies may give you addional rights to limit sharing. See below for more on
your rights under state law.
What happens when
I limit sharing for an
account I hold jointly
with someone else?
Your choice will apply to everyone on your account – unless you tell us otherwise.
Denions
Aliates Companies related by common ownership or control. They can be nancial and nonnancial companies.
• Our aliates include companies with a common Cambridge Investment Research name; nancial
instuons such as TBS Agency, Inc. and Connuity Partners Group LLC; and nonnancial companies
such as Cambridge Investment Group, Inc., Connuity Management Group, LLC and Eneric Petroleum
Corporaon.
Nonaliates Companies not related by common ownership or control. They can be nancial and nonnancial
companies.
• Nonaliates we share with can include your nancial professional’s company and investment adviser
rm, your nancial professional’s new broker-dealer and investment adviser rm if your nancial
professional chooses to leave Cambridge, and other broker-dealers and investment adviser rms
designated by your nancial professional if he or she leaves Cambridge, reres, or sells his or her
pracce.
Joint Markeng A formal agreement between nonaliated nancial companies that together market nancial products or
services to you.
• Our joint markeng partners include banks, credit unions, rerement plans, and other nancial
instuon programs.
Other important informaon
We also comply with more restricve state laws to the extent that they apply. For example, if you reside in Vermont or
California, we will automacally opt you out of sharing your informaon with nonaliates for markeng purposes unless you
have provided Cambridge with wrien authorizaon to opt you in to such sharing.
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Completed 24 August 2021

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