HomeMy WebLinkAboutItem 06 Approval of Corporate Resolution Naming Controllers of the Raymond James Investment Account ocoee
florida
AGENDA ITEM COVER SHEET
Meeting Date: February 18, 2020
Item # 1p
Reviewed By:
Contact Name: Rebecca Roberts Department Directo tP tle�
Contact Number: 1390 City Manager: fr/1/
Subject: Approval of Resolution Naming Controllers of the Raymond James vestment Account
Background Summary:
To help the government fight financial crime, federal regulation requires Raymond James® to obtain, verify, and
record information about the beneficial owners of legal entity clients. The City of Ocoee is a legal entity client of
Raymond James® and they require the City to approve and sign a Resolution of the Commission in order to update
the Controller(s) on the City's investment account with Raymond James®. The Controller(s) are permitted to make
investment and withdraw decisions in compliance with the City's Investment Policy. The Controllers being named to
this account are Rob Frank, City Manager, and Rebecca Roberts, Director of Finance.
Issue:
Should the City Commission approve and authorize the Mayor and City Clerk to execute the Resolution — Cash and
Margin/Short Sale Accounts, naming Rob Frank and Rebecca Roberts Controllers on the investment account?
Recommendations:
Staff recommends the City Commission approve and authorize the Mayor and City Clerk to execute the Resolution —
Cash and Margin/Short Sale Accounts, naming Rob Frank and Rebecca Roberts Controllers on the investment
account.
Attachments:
Raymond James®Corporate Resolution-Cash and Margin/Short Sale Accounts.
Financial Impact:
There is no financial impact.
Type of Item: (please mark with an `x')
Public Hearing For Clerk's Dept Use:
Ordinance First Reading Consent Agenda
Ordinance Second Reading Public Hearing
Resolution Regular Agenda
X Commission Approval
Discussion & Direction
Original Document/Contract Attached for Execution by City Clerk
Original Document/Contract Held by Department for Execution
Reviewed by City Attorney ana Crosby-Collier N/A
Reviewed by Finance Dept. N/A
Reviewed by ( ) ' N/A
1
Beneficial Owner Form
RAYMOND
� ���1 �m 1A�c New Accounts 0 1 0 9 4
R JVIO L J��1JLV1ES® Service Center Form# Account#
eSigsz /Scan/Fax
Branch# FA# Speed Dial#
I. Instructions
What is this form?
To help the government fight financial crime, federal regulation requires certain financial institutions to obtain, verify, and record
information about the beneficial owners of legal entity clients. Legal entities can be abused to disguise involvement in terrorist
financing, money laundering, tax evasion, corruption, fraud, and other financial crimes. Requiring the disclosure of key individuals
who ultimately own or control a legal entity (i.e., the beneficial owners) helps law enforcement investigate and prosecute these
crimes.
Who must complete this form?
This form must be completed by the person opening a new account on behalf of a legal entity. For the purposes of this form, a
"legal entity" includes a corporation, limited liability company, partnership, and any other similar business entity formed in the
United States or a foreign country. Please note that only one (1) Beneficial Ownership Form is required per client when multiple
accounts are opened at the same time.
II. Required Information
Persons opening an account on behalf of a legal entity must provide the following information:
a. Name of Natural Person Opening Account(e.g.,John b. Title of Natural Person Opening Account(e.g.,CEO,CFO,etc.)
Smith)
c. Full Registered name of Legal Entity Client d. Physical Address of Legal Entity(*Including State and zip Code)
e. U.S. Federal Employment ID Number(FEIN)or, f. Country of Formation
non-U.S. entity, Government Issued ID Number
LEGAL ENTITY STRUCTURE (*Please mark only 1 selection below as applicable)
O Corporation O LLC 0 Partnership 0 Foundation 0 Municipality 0 Non-Profit
O Other(please provide):
Additionally, unless the legal entity client is one of the types of entities listed in Schedule 1 or Schedule 2 below, Section III of this
form requires you to provide the name, address, date of birth and social security number (or passport number or other similar
information, in the case of foreign persons)for the following individuals(i.e., the beneficial owners):
(i) Each individual, if any, who owns, directly or indirectly, 25 percent (10 percent if entity is deemed high-risk (e.g., tied to a
high-risk geographic location) and 100 percent if entity is a Private Investment Company) or more of the equity interests of
the legal entity client(e.g., each natural person that owns the minimum percentage of the shares of a corporation); and
(ii) An individual with significant responsibility for managing the legal entity client (e.g., a Chief Executive Officer, Chief
Financial Officer, Chief Operating Officer, Managing Member, General Partner, President,Vice President or Treasurer).
If the legal entity client is owned by a Trust, the trustee(s)of that Trust are deemed the beneficial owners. If the trustee of the trust
is a Corporate Trustee we must collect the Corporate Trustees Name, EIN, and Physical address. The Corporate Trustees
formation document will be required unless the entity is a US-based and regulated Trust Company or meets any other US-Based
exemptions listed on Schedule 1 on page 3.
Please note Raymond James may request a copy of a driver's license or other identifying document for each beneficial owner or
primary controller listed in Section III (including subsection g and h)on page 2.
III.Beneficial Ownership Information
g. The following information for each individual, if any, who, directly or indirectly, through any contract, arrangement,
understanding, relationship or otherwise, owns 25 percent or more of the entity interest of the legal entity listed above. If the legal
entity client is deemed high-risk (e.g., tied to a high-risk geographic location), then the beneficial ownership requirement is 10
percent or more, with Private Investment Company clients required to provide ALL beneficial owners. If no individual meets this
definition, please check the "Not Applicable" box below and skip to section III h. This section must be completed if the "Not
Applicable"box is unchecked.
O Beneficial Owner Not Applicable
O Beneficial Owner is an Individual(s)
O Beneficial Owner is a Trust
13B 01094 DCT 09/19 Page 1 of 4
Account#
III.Beneficial Ownership Information (continued)
Please use Addendum A on page 4 if additional space is required.
Individual Beneficial Owner Information AND/OR Trust without Corporate Trustee Information-("If the beneficial owner is a Trust with an
Individual Trustee,please fill out this section)
U.S.Persons: Foreign Persons:
Individual Country of Country of Social Passport or Ownership
Name or Date of Birth Residential Address Citizenship Permanent Security Government Percentage
Trustee Name Residence Number Issued ID
Number1
Name of Trust:
Name of Trust:
Name of Trust:
Name of Trust:
Trust with a Corporate Trustee Information (*If Trust does not have a corporate Trustee please complete section above)
Trust Client Name Corporate Trustee Legal Country of Formation Physical Address EINlTIN or Foreign
Entity Name ID if Foreign
Primary Controller
h. The following information for the primary controller with significant responsibility for managing the legal entity in section C,
O An Executive officer or senior manager (e.g. Chief Executive Officer, Chief Financial Officer, Chief Operating Officer,
Managing Member, General Partner, President,Vice President,Treasurer);or
O Any other individual who regularly performs similar functions.
O Controller information not applicable(*Only Schedule 1 exempt entitles as selected on page 3 may select this option)
If applicable, an individual listed under section(g)above also be listed in this section(h) in the table below.
Foreign
Country of U.S.Persons: Persons:
Name Title Date of Birth Residential Address Country of Permanent Social Security Passport or
Citizenship ResidenceNumber Government
Issued ID
Number1
•
•
13B 01094 DCT 09/19 Page 2 of 4
Account#
i. Unless the legal entity client is one of the types of entities listed in Schedule 1 or Schedule 2 below, please attach a
copy of the organizational document(with any amendments)filed with the Secretary of State or similar governmental
agency for the legal entity listed above,such as: Articles of Incorporation; Articles of Organization; Partnership
Registration Statement; etc.
11n lieu of a passport number,foreign persons may also provide an alien identification card number, or number and country of
issuance of any other government-issued document evidencing nationality or residence and bearing a photograph or similar
safeguard.A copy of the passport or other government-issued document must be provided with the submission of this form for all
natural foreign persons.
IV. Acknowledgement and Signature
I hereby certify to the best of my knowledge that the information provided above is complete and correct.
Authorized Natural Person Signature Printed Name Date
V. Schedules
Schedule 1: Excluded Legal Entities
(Only items a., b., c., d., e., f, g., h., and Legal Entity Structure on page 1, and Section IV. Acknowledgement and Signature
required)
[Please attach proof of applicable exclusion]
O Financial institution regulated by a federal functional regulator(e.g.,federally regulated bank, broker or dealer in securities,
mutual fund,futures commission merchant, or introducing broker in commodities)or by a state bank regulator, a bank holding
company or savings and loan holding company,or an insurance company regulated by a state regulator
O Pooled investment vehicle managed by a financial institution who is exempt based on the above exclusion (U.S. regulated)
O Non-U.S.financial institution established in a jurisdiction where the regulator maintains beneficial ownership information
regarding such institution
O Publicly held company whose common stock(or analogous equity interests)are listed on the NYSE,American, or NASDAQ
stock exchange(a"Listed Entity')
O Entity organized under US law or any U.S. state's law at least 51%of whose common stock(or analogous equity interests)
are held by a Listed Entity
O Entity registered with the SEC under the Securities Exchange Act of 1934
O Registered investment adviser or registered investment company with the Securities and Exchange Commission
O SEC-registered exchange or clearing agency
O Financial market utility designated by the U.S. Financial Stability Oversight Council under Title VIII of the Dodd-Frank Wall
Street Reform and Consumer Protection Act
O CFTC-registered Commodity Pool Operator(CPO), Commodity Trading Advisor(CTA), retail foreign exchange dealer or
swap dealer
O Domestic government agency or instrumentality, or a legal entity that exercises governmental authority on behalf of U.S. or
any state or political subdivision
O Non-U.S.governmental department, agency or political subdivision that engages only in governmental rather than
commercial activities
O Non-U.S. legal entity opening private banking accounts
Schedule 2: Control-Only Entity(Primary Controller is required)
(Only items a., b., c., d., e., f., g., h., and Legal Entity Structure on on page 1, Section IV. Acknowledgement and Signature
required)
[Please attach proof of applicable partial exclusion]
O Pooled investment vehicle that is operated or advised by a financial institution that is not an Excluded Legal Entity(i.e. a
non-U.S. managed mutual fund, hedge fund, or private equity fund)
O A nonprofit corporate or similar entity(including a charitable, nonprofit, not-for profit, nonstock, public benefit or similar
corporation)that has filed its organization's document with the appropriate State authority as necessary
13B 01094 DCT 09/19 Page 3 of 4
Account#
Addendum A
To be completed if the legal entity is organized or located in a High-Risk Jurisdiction or otherwise deemed high-risk. The following
information must be provided for each individual, if any, who, directly or indirectly, through any contract, arrangement,
understanding, and relationship or otherwise, owns 10 percent or more of the entity interest of the legal entity. All beneficial owners
Beneficial Ownership Information
U.S.Persons: Foreign Persons:
Country of Country of Social Passport or Ownership
Name Date of Birth Physical Address Citizenship Permanent Security Government Percentage
Number
Residence Issued ID
Number t
Name of Trust:
Name of Trust:
Name of Trust:
Name of Trust:
Name of Trust:
Name of Trust:
Name of Trust:
Name of Trust:
1ln lieu of a passport number, foreign persons may also provide an alien identification card number, or number and country of
issuance or any other government-issued document evidencing nationality or residence and bearing a photograph or similar
safeguard.A copy of the passport or other government-issued document must be provided with the submission of this form for all
natural foreign persons.
13B 01094 DCT 09/19 Page 4 of 4
Corporate Resolution — Cash and Margin/Short Sale Accounts
RAYMOND TA �/�,�('� New Accounts 0 1 1 5 9
JAMES®ES® Service Center Form# Account#
eS i/Scan/Fax 96F0
Branch# FA# Speed Dial#
Account Number(s)
I, , Certifying Person of
(Certifying Person Name) (Name of Corporation)
a corporation organized and existing under and by virtue of the Laws of the State of (the
"Corporation") do hereby certify that the following is a true and complete copy of resolutions adopted at a meeting of the Board of
Directors of the Corporation duly called and held on , at which a quorum was present and voting, or by
unanimous written consent of directors in lieu of a meeting; that said resolutions are now in full force and effect and have not been
rescinded; and that said resolutions are not in conflict with the Charter or By-Laws of the Corporation.
Resolved--
First: That the Primary Controller or any additional Controllers designated below with signatures, be and they hereby are, and
each of them individually is, authorized and empowered, for and on behalf of this Corporation, to establish and maintain one or more
accounts, with Raymond James & Associates, Inc. (herein called the "Broker") for the purpose of purchasing, investing in, or
otherwise acquiring, selling, possessing, transferring, exchanging, pledging, or otherwise disposing of, and generally dealing in and
with any and all forms of securities including, but not limited to shares, stocks, bonds, debentures, notes, options, script, participation
certificates, rights to subscribe,warrants, certificates of deposit, mortgages, choses in action, evidences of indebtedness, commercial
paper, certificates of indebtedness and certificates of interest of any and every kind of nature whatsoever, secured or unsecured,
whether represented by trust, participating and/or other certificates or otherwise.
The fullest authority at all times with respect to any such commitment or with respect to any transaction deemed by any of the
said controllers and/or agents to be proper in connection therewith is hereby conferred, including authority (without limiting the
generality of the foregoing)to give written or oral instructions to be the Broker with respect to said transactions; to bind and obligate
the Corporation to and for the carrying out of any contract, arrangement, or transaction, which shall be entered into by any such
controller and/or agent for and on behalf of the Corporation with or through the Broker; to pay such sums as may be necessary in
connection with any of the said accounts; to deliver securities to, and deposit funds with the Broker; to order the transfer or delivery of
securities to any other person whatsoever, and/or to order the transfer of record of any securities in order to pass title thereto or to
any name selected by any of the said controllers or agents; to direct the sale or exercise of any rights with respect to any securities;
to affix the corporate seal to any documents,agreements,or otherwise; to endorse any securities in order to pass title thereto;to sign
on behalf of the Corporation all releases, powers of attorney and/or other documents in connection with any such accounts, and to
agree to any terms or conditions to control any such account; to direct the Broker to surrender any securities to the proper agent or
party for the purpose of effecting any exchange or conversion, or for the purpose of deposit with any protective or similar committee,
or otherwise;to accept delivery of any securities;to appoint any other person or person to do any and all things which any of the said
controllers and/or agents is hereby empowered to do, and generally to do and take all action necessary in connection with the
account,or considered desirable by such controller and/or agent with respect thereto.
Second: That this authorization:
O Shall include the opening of margin accounts and the making of short sales; OR
O Shall not include the opening of margin accounts and the making of short sales.
Third: That the Broker may deal with any and all persons directly or indirectly by the foregoing resolution, empowered, as though
they were dealing with the Corporation directly.
Fourth: That the Secretary of the Corporation be and is hereby authorized, empowered and directed to certify to the Broker.
(a) a true copy of these resolutions, and;
(b) specimen signatures of each and every person by these resolutions empowered.
Fifth: That the Broker may rely upon any certification given in accordance with these resolutions, as continuing fully effective
unless and until the Broker shall receive due written notice of a change in or the rescission of the authority so evidenced, and the
dispatch or receipt of any other form of notice shall not constitute a waiver of this provision, nor shall the fact that any person hereby
empowered ceases to be a controller of the Corporation or becomes a controller under some other title, in any way affects the powers
hereby conferred. The failure to supply any specimen signature shall not invalidate any transaction if the transaction is in accordance
with authority actually granted.
Sixth: That in the event of any change in the office or powers of persons hereby empowered, the Secretary shall certify such
changes to the Broker in writing in the manner herein above provided, which notification, when received, shall be adequate both to
terminate the powers of the persons theretofore authorized, and to empower the persons thereby substituted.
13B 01159 DCT 5/19 Page 1 of 7
See Page 1
Account#
Seventh: That the foregoing resolutions and the certificates actually furnished to the Broker by the Secretary of the Corporation
pursuant thereto, be and they hereby are made irrevocable until written notice of the revocation thereof shall have been received by
the Broker.
Primary Controller Information
FIRST AND LAST NAME DATE OF BIRTH(mm-dd-yyyy) CITIZENSHIP
TAX ID TYPE: 0 SSN O ITIN
SS#/ ITIN# PERMANENT COUNTRY OF RESIDENCE
Street Address(must be a physical address) City State Zip Code
FUNCTION: 0 Chairman 0 Chief Accounting Officer 0 Chief Administration Officer 0 Chief Business Officer
O Chief Compliance Officer 0 Chief Executive Officer 0 Chief Financial Officer 0 Chief Operating Officer
O Chief Risk Officer 0 Controlling Officer 0 Director 0 Executive Vice President
O Managing Director 0 President 0 Secretary 0 Senior Vice President
O Treasurer 0 Vice President 0 Senior Controlling Manager
INVESTMENT EXPERIENCE (Provide your experience, if any, with the following investment types:
None Moderate Considerable None Moderate Considerable
Equities O O O Annuities O O O
Bonds O O O Margin Trading O O O
Mutual Funds/UITs O O O Options/Futures O O O
ETFs O O O Alternative Investments 0 O O
DISCLOSURES
an employee, a financial advisor, or related to any employee or financial advisor associated with Raymond James
O I am (Raymond James Financial, Inc., and its subsidiaries, affiliates, introducing brokers, correspondents and/or
O I am not successor firms, as well as the independent advisers for whom we provide correspondent dealer and
administrative services, as applicable).
RELATED TO WHOM RELATIONSHIP TO INDIVIDUAL
O I am an employee, of or related to an employee of any exchange or a member firm of any exchange or member of the
O I am not Financial Industry Regulatory Authority(FINRA).
FINRA EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
FINRA PERSON COMPANY NAME COMPANY POSITION
O I am an employee,of or related to an officer of a bank,trust company, or insurance company.
Co lam not
EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
BANK/COMPANY NAME BANK/COMPANY POSITION
O I am A director, corporate officer, or a 10%shareholder of a publicly traded company.
O I am not
COMPANY SYMBOL COMPANY POSITION
O I do authorize disclosure of name, address and security position to requesting companies in which securities under
O I do not SEC rule 14b-1(c)are held.
a Politically Exposed Person (PEP) / Senior Political Figure (SPF), an immediate family member or close
O I am not associate of a PEP/SEP or have a substantial (50% or greater) ownership or controlling interest in a government
owned business or entity.
13B 01159 DCT 5/19 Page 2 of 7
See Page 1
Account#
Additional Controller 2 Information
FIRST AND LAST NAME DATE OF BIRTH(mm-dd-yyyy) CITIZENSHIP
TAX ID TYPE: 0 SSN 0 ITIN
SS#/ ITIN# PERMANENT COUNTRY OF RESIDENCE
Street Address(must be a physical address) City State Zip Code
FUNCTION: 0 Chairman 0 Chief Accounting Officer 0 Chief Administration Officer 0 Chief Business Officer
O Chief Compliance Officer 0 Chief Executive Officer 0 Chief Financial Officer 0 Chief Operating Officer
O Chief Risk Officer 0 Controlling Officer 0 Director 0 Executive Vice President
O Managing Director 0 President 0 Secretary 0 Senior Vice President
O Treasurer 0 Vice President 0 Senior Controlling Manager
INVESTMENT EXPERIENCE (Provide your experience, if any, with the following investment types:
None Moderate Considerable None Moderate Considerable
Equities O O O Annuities O O O
Bonds O O O Margin Trading O O O
Mutual Funds/UITs 0 O O Options/Futures O O O
ETFs O O O Alternative Investments 0 O O
DISCLOSURES
an employee, a financial advisor,or related to any employee or financial advisor associated with Raymond James
O I am (Raymond James Financial, Inc., and its subsidiaries, affiliates, introducing brokers, correspondents and/or
O I am not successor firms, as well as the independent advisers for whom we provide correspondent dealer and
administrative services, as applicable).
RELATED TO WHOM RELATIONSHIP TO INDIVIDUAL
O I am an employee, of or related to an employee of any exchange or a member firm of any exchange or member of the
Co I am not Financial Industry Regulatory Authority(FINRA).
FINRA EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
FINRA PERSON COMPANY NAME COMPANY POSITION
O I am an employee, of or related to an officer of a bank,trust company, or insurance company.
• lam not
EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
BANK/COMPANY NAME BANK/COMPANY POSITION
O I am A director, corporate officer, or a 10%shareholder of a publicly traded company.
• lam not
COMPANY SYMBOL COMPANY POSITION
O I do authorize disclosure of name, address and security position to requesting companies in which securities under
O I do not SEC rule 14b-1(c)are held.
a Politically Exposed Person (PEP) / Senior Political Figure (SPF), an immediate family member or close
00 I am I am not associate of a PEP/SEP or have a substantial (50% or greater) ownership or controlling interest in a government
owned business or entity.
13B 01159 DCT 5/19 Page 3 of 7
See Page 1
Account#
Additional Controller 3 Information
FIRST AND LAST NAME DATE OF BIRTH(mm-dd-yyyy) CITIZENSHIP
TAX ID TYPE: 0 SSN 0 ITIN
SS#/ITIN# PERMANENT COUNTRY OF RESIDENCE
Street Address(must be a physical address) City State Zip Code
FUNCTION: 0 Chairman 0 Chief Accounting Officer 0 Chief Administration Officer 0 Chief Business Officer
O Chief Compliance Officer 0 Chief Executive Officer 0 Chief Financial Officer 0 Chief Operating Officer
O Chief Risk Officer 0 Controlling Officer 0 Director 0 Executive Vice President
O Managing Director 0 President 0 Secretary 0 Senior Vice President
O Treasurer 0 Vice President 0 Senior Controlling Manager
INVESTMENT EXPERIENCE(Provide your experience, if any,with the following investment types:
None Moderate Considerable None Moderate Considerable
Equities O 0 O Annuities 0 0 0
Bonds O 0 0 Margin Trading O O 0
Mutual Funds/UITs 0 0 O Options/Futures O 0 0
ETFs 0 O 0 Alternative Investments 0 O 0
DISCLOSURES
an employee, a financial advisor, or related to any employee or financial advisor associated with Raymond James
O I am (Raymond James Financial, Inc., and its subsidiaries, affiliates, introducing brokers, correspondents and/or
O I am not successor firms, as well as the independent advisers for whom we provide correspondent dealer and
administrative services, as applicable).
RELATED TO WHOM RELATIONSHIP TO INDIVIDUAL
O I am an employee, of or related to an employee of any exchange or a member firm of any exchange or member of the
O I am not Financial Industry Regulatory Authority(FINRA).
FINRA EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
FINRA PERSON COMPANY NAME COMPANY POSITION
O I am an employee, of or related to an officer of a bank,trust company, or insurance company.
O lam not
EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
BANK/COMPANY NAME BANK/COMPANY POSITION
O I am not A director, corporate officer, or a 10%shareholder of a publicly traded company.
COMPANY SYMBOL COMPANY POSITION
O I do authorize disclosure of name, address and security position to requesting companies in which securities under
O I do not SEC rule 14b-1(c)are held.
a Politically Exposed Person (PEP) / Senior Political Figure (SPF), an immediate family member or close
0 I am not associate of a PEP/SEP or have a substantial (50% or greater) ownership or controlling interest in a government
owned business or entity.
13B 01159 DCT 5/19 Page 4 of 7
See Page 1
Account#
Additional Controller 4 Information
FIRST AND LAST NAME DATE OF BIRTH(mm-dd-yyyy) CITIZENSHIP
TAX ID TYPE: 0 SSN 0 ITIN
SS#/ITIN# PERMANENT COUNTRY OF RESIDENCE
Street Address(must be a physical address) City State Zip Code
FUNCTION: 0 Chairman 0 Chief Accounting Officer 0 Chief Administration Officer 0 Chief Business Officer
O Chief Compliance Officer 0 Chief Executive Officer 0 Chief Financial Officer 0 Chief Operating Officer
O Chief Risk Officer 0 Controlling Officer 0 Director 0 Executive Vice President
O Managing Director 0 President 0 Secretary 0 Senior Vice President
O Treasurer 0 Vice President 0 Senior Controlling Manager
INVESTMENT EXPERIENCE(Provide your experience, if any, with the following investment types:
None Moderate Considerable None Moderate Considerable
Equities O O O Annuities 0 0 0
Bonds O O O Margin Trading O O O
Mutual Funds/UlTs O O O Options/Futures O O O
ETFs O O O Alternative Investments 0 O O
DISCLOSURES
an employee, a financial advisor,or related to any employee or financial advisor associated with Raymond James
O I am (Raymond James Financial, Inc., and its subsidiaries, affiliates, introducing brokers, correspondents and/or
O I am not successor firms, as well as the independent advisers for whom we provide correspondent dealer and
administrative services, as applicable).
RELATED TO WHOM RELATIONSHIP TO INDIVIDUAL
O I am an employee, of or related to an employee of any exchange or a member firm of any exchange or member of the
O I am not Financial Industry Regulatory Authority(FINRA).
FINRA EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
FINRA PERSON COMPANY NAME COMPANY POSITION
O I am an employee, of or related to an officer of a bank,trust company, or insurance company.
O lam not
EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
BANK/COMPANY NAME BANK/COMPANY POSITION
O I am not A director, corporate officer, or a 10%shareholder of a publicly traded company.
COMPANY SYMBOL COMPANY POSITION
O I do authorize disclosure of name, address and security position to requesting companies in which securities under
O I do not SEC rule 14b-1(c)are held.
a Politically Exposed Person (PEP) / Senior Political Figure (SPF), an immediate family member or close
00 I am I am not associate of a PEP/SEP or have a substantial (50% or greater) ownership or controlling interest in a government
owned business or entity.
13B 01159 DCT 5/19 Page 5 of 7
See Page 1
Account#
Additional Controller 5 Information
FIRST AND LAST NAME DATE OF BIRTH(mm-dd-yyyy) CITIZENSHIP
TAX ID TYPE: 0 SSN 0 ITIN
SS#/ ITIN# PERMANENT COUNTRY OF RESIDENCE
Street Address(must be a physical address) City State Zip Code
FUNCTION: 0 Chairman 0 Chief Accounting Officer 0 Chief Administration Officer 0 Chief Business Officer
O Chief Compliance Officer 0 Chief Executive Officer 0 Chief Financial Officer 0 Chief Operating Officer
O Chief Risk Officer 0 Controlling Officer 0 Director 0 Executive Vice President
O Managing Director 0 President 0 Secretary 0 Senior Vice President
O Treasurer 0 Vice President 0 Senior Controlling Manager
INVESTMENT EXPERIENCE(Provide your experience, if any, with the following investment types:
None Moderate Considerable None Moderate Considerable
Equities 0 0 0 Annuities O 0 0
Bonds 0 0 0 Margin Trading 0 0 0
Mutual Funds/UlTs O O O Options/Futures 0 0 O
ETFs O O 0 Alternative Investments 0 0 O
DISCLOSURES
an employee, a financial advisor, or related to any employee or financial advisor associated with Raymond James
O I am (Raymond James Financial, Inc., and its subsidiaries, affiliates, introducing brokers, correspondents and/or
O I am not successor firms, as well as the independent advisers for whom we provide correspondent dealer and
administrative services, as applicable).
RELATED TO WHOM RELATIONSHIP TO INDIVIDUAL
O I am an employee, of or related to an employee of any exchange or a member firm of any exchange or member of the
O I am not Financial Industry Regulatory Authority(FINRA).
FINRA EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
FINRA PERSON COMPANY NAME COMPANY POSITION
O I am an employee, of or related to an officer of a bank,trust company, or insurance company.
O lam not
EMPLOYEE/RELATED PERSON RELATIONSHIP TO INDIVIDUAL
BANK/COMPANY NAME BANK/COMPANY POSITION
O I am not A director, corporate officer,or a 10%shareholder of a publicly traded company.
COMPANY SYMBOL COMPANY POSITION
O I do authorize disclosure of name, address and security position to requesting companies in which securities under
O I do not SEC rule 14b-1(c)are held.
a Politically Exposed Person (PEP) / Senior Political Figure (SPF), an immediate family member or close
O I am not associate of a PEP/SEP or have a substantial (50% or greater) ownership or controlling interest in a government
owned business or entity.
13B 01159 DCT 5/19 Page 6 of 7
See Page 1
Account#
Controller Acknowledgments and Signature(s)
Primary Controller Signature Printed Name Date
Additional Controller 2 Signature Printed Name Date
Additional Controller 3 Signature Printed Name Date
Additional Controller 4 Signature Printed Name Date
Additional Controller 5 Signature Printed Name Date
Certifying Person Acknowledgments and Signature
I further certify that each of the above has been duly elected and is now legally holding the office set opposite his/her
name and that this is the true and accurate specimen signature of those authorized by the foregoing resolutions.
Certifying Person Signature(required) Printed Name Date
(Note: This certification should be used in conjunction with either the assignment provided on each certificate of stock and
registered bond, or a separate assignment. The officer certifying the resolution must not execute the assignment. The certification
and assignment must both bear the same date.)
13B 01159 DCT 5/19 Page 7 of 7