Important information you need to know about our account requirements and confidentiality pledge.

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record customer account information. At William O’Neil Securities we collect public and nonpublic information about our institutional clients as specifically mandated for customer identification and verification by the USA PATRIOT ACT, SEC 17a-3 (Books & Records Requirements), NYSE Rule 405 (“Know Your Customer and NASD Conduct Rule 3110.”)

This Notice provides you with some answers about William O’Neil Securities’ Customer Identification Program as well as our Privacy Policy as it relates to SEC Regulation S-P.

This Notice provides you with some answers about William O’Neil Securities, Incorporated’s Customer Identification Program as well as our Privacy Policy as it relates to SEC Regulation S-P.

For an institutional account to be opened, William O’Neil Securities is required to record and verify:
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1. The name(s) of the person(s) authorized to conduct business on behalf of your organization;
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2. Whether or not your organization intends to have associates trade with our equity desk. If your organization does intend to have associates trade with our equity desk, we will need a trading authorization listing those associates and signed by a party authorized to conduct business on behalf of your organization. For your convenience, we have developed fill-in-the blank forms that, if filled in completely and accurately, will satisfy the above requirements. When filling out the form, if any of the specified terms do not apply, please make the necessary changes so that all the information will reflect your organization appropriately, or contact us for help customizing a version that satisfies our requirements and better addresses your organization’s structure;
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3. A corporation, partnership, trust or other legal entity must also provide information about its principal place of business and local office(s) with which we have a business relationship, as noted within one of the following documents: certified articles of incorporation, government-issued business license, LLC agreement(s), and partnership or trust agreement(s) as applicable to the organization of the firm.

If the above information is not provided or your organization’s identity cannot be verified, William O’Neil Securities will be unable to open an account or carry out transactions for your organization, and consequently any already existing accounts may have to be closed. If you have not yet done so, please contact us to provide any of the necessary information noted above.

Equally important to our firm and to our clients is our Privacy Policy. William O’Neil Securities' Privacy Policy is located here.