Securities-based Credit Line Quote Request Form
Please answer all questions, then attach a valid picture ID and recent brokerage statement below and any other support documents you would like to include.
Full Name:
Company:
Address:
Telephone:
Fax:
Email:
Purpose of this financing?(For what purpose will it be used?)
Securities Information 1) Are you an employee, director, insider, or owner of 5% or more of any of the securities being pledged? If yes, please provide details.
2) Are any of your securities currently in Certificate ("Cert") form? If yes, please provide details.
3) Are the securities you will be using for the Credit Line all free trading - e.g., no liens or restrictions that you are aware of?If no, please provide details.
4) Are any of your securities currently being used as collateral for a loan? If yes, please explain.
5) Are there currently any third party claims to any of your securities? (i.e.,tax lien, divorce settlements etc) If yes, please explain.
6) Are your securities part of an IRA or Keogh Plan? If yes, they cannot used for this financing program
Important: Please attach the following as PDF or JPG files. Please note that a copy of a brokerage statement and photo ID is required to receive a Term Sheet quote. Please attach: 1) A copy of a valid current brokerage statement no more than 30 days old indicating shares proposed for credit line; and 2) a clear and legible copy of a picture ID (driver's license, passport, etc.). Please note that all documents are held in strict confidence per our privacy policy, a copy of which is available upon request, and that thse documents shall be used solely and exclusively for the purpose of institutional lender review for securities-backed financing analysis.
Stock Ticker Symbols or Description
Number of Shares or Description
Who will be the signatory to this credit line account? (LLC, Corporation, or Trust signatories may require up to two weeks additional due diligence per regulation.)
Upload picture ID (Passport or Driver's License)
Upload brokerage statement
Upload additional document
Are you the legal owner of these shares, or do you have power of attorney over them?
Signature
Security Code: