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FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: bNTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCO
6 EFTA_OO159891 EFTA01291535 Important Information and Disclosures (continued) The Role of Pershing (continued) your financial organization and Pershmg. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights. inckiding your rights under the Secur
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCO
pectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the /Oohing information for Pershmg's 20f4 IRS Forms 1099 (8. DlIONT, 010 and MISC): Your form 1099 will be delivered as early as possible, beginning January 31. 2015. By February 17. y
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCO
ctus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the falloeing information for Pershmg's 2015 RS Forms 1099 fa DIV. INT OID and MISC 1: Your form 1099 will be delivered as early as possible. beginning January 31, 2016. By February 16. y
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCO
pectus or the bank deposit products disclosure document or contact your advisor for additional information. Please note the toclowng information for Pershmg's 20f 4 IRS Forms 1099 (8. DIV. INT O/D and MISC): Your form 1099 AA be delivered as early as possible, beginning January 31, 2015. By February 17, y
Entities connected to both ON PERSHING'S and Pershmg
THE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATIONUSAGES
ORGANIZATION
Jeff Sessions
PERSONINDEBTED TO PERSHING LLC
ORGANIZATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONthe State of New York
LOCATIONPershing
LOCATIONLegal Department
ORGANIZATIONPershing LLC
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONClient Service Information
ORGANIZATIONPie Chart
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATION
Baltimore
LOCATION