Contact Information

Lori Mitchell
Vice President
Investor Services Manager

Florida Office
17755 US Hwy 19 N
Suite 400
Clearwater, FL 33764-6500
Ph. 877.654.1500
Fax 727.450.0750

gryphon icon Customer Identification Program Notice

Important Information You Need to Know About Subscribing for Units

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify and record information that identifies each person that subscribes to our funds.

This notice answers some questions about Commonwealth Capital Securities Corp.'s Customer Identification Program.

What Types of information will I need to provide?

When you subscribe for units, Commonwealth Capital Securities Corp. is required to collect information such as the following from you:

  • Your name
  • Date of birth
  • Address
  • Identification number
    • U.S. Citizen: IRS form W-9 latest revision.
    • Non-U.S. Citizen: IRS form W-8 latest revision, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you.
  • You may also need to show your driver's license or other identifying documents.
  • A corporation, partnership, trust or other legal entity may need to provide other information, such as its principle place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.

U.S. Department of the Treasury, Securities and Exchange Commission, and FINRA rules already require you to provide most of the information. These rules may also require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don't provide the information requested or my identity can't be verified?

Commonwealth Capital Securities Corp. may not be able to open an account, or if the account has already been opened for you, Commonwealth Capital Securities Corp. may have to close it.

We thank you for your patience and hope that you will support the financial industry's efforts to deny terrorist and money launderers access to America's financial system.