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Before we begin, we must first decide how you would like to submit your Keystone Captital Corporation Digital Securities Trading application:




     

Please select the appropriate joint account type:

  • Community Property - Property acquired by either spouse during the course of a marriage is considered community property. (Where applicable by State law)
  • Tenants by Entirety - When one spouse passes away, the surviving spouse gains full ownership of the property.
  • Joint Tenants with Rights of Survivorship - Upon death of one account holder, all remaining assets pass to the survivor.
  • Joint Tenants in Common - Upon death of one account holder, remaining assets pass to surviving account holder as determined.

All U.S. residents must provide a completed W-9

U.S. Citizen or Permanent Resident?

Are you, your spouse, or any other immediate family members, including parents, in-laws, siblings and dependents employed by or associated with the securities industry (for example, a sole proprietor, partner, officer, director, or branch manager of a broker-dealer firm) or financial regulatory agency?

If yes please specify the entity or entities below

Are you, your spouse, or any other immediate family members, including parents, in-laws, siblings and dependents an officer, director or 10% (or more) shareholder in a publicly-owned company?

If yes, please provide the company name and ticker symbol.

Is the account maintained for a current or former Politically Exposed Person or Public Official (includes U.S. and Foreign)?

Please provide the email address of the Joint Owner. An email will be sent to address provided with details to setup their login credentials.

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All U.S. residents must provide a completed W-9

U.S. Citizen or Permanent Resident?

Are you, your spouse, or any other immediate family members, including parents, in-laws, siblings and dependents employed by or associated with the securities industry (for example, a sole proprietor, partner, officer, director, or branch manager of a broker-dealer firm) or financial regulatory agency?

If yes please specify the entity or entities below

Are you, your spouse, or any other immediate family members, including parents, in-laws, siblings and dependents an officer, director or 10% (or more) shareholder in a publicly-owned company?

If yes, please provide the company name and ticker symbol.

Is the account maintained for a current or former Politically Exposed Person or Public Official (includes U.S. and Foreign)?

The following information helps us comply with various securities regulations and rules and the USA PATRIOT Act1, a Federal law that requires all securities firms to obtain, verify, and record information that identifies each applicant. Please note: if we cannot verify the information you provide, we may be required to restrict or deny your account. Please remember to notify us if you experience a significant life change, such as the birth of a child, marriage, divorce, death of a spouse, loss of a job, change in financial situation, etc.

All U.S. residents must provide a completed W-9.

In order to comply with government regulations, please provide proof of identity for . Accepted documents include a driver's license, state issued ID card, passport, or Federally issued INS Permanent Resident Alien card.

Upload Front of I.D.

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In order to comply with government regulations, please provide proof of identity for . Accepted documents include a driver's license, state issued ID card, passport, or Federally issued INS Permanent Resident Alien card.

Upload Front of I.D.

Accepted File Type: .jpg, .jpeg, or .png

Upload Back of I.D.

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Investment Objective

What is your goal with this investment account?

  • Investment objective options are defined as:
  • Preservation of Capital - Identifies clients seeking to maintain principal, and interested in investments with very low historical risk of loss of principal.
  • Income - Identifies clients seeking to generate income from investments, and interested in investments with low historical risk of loss of principal.
  • Capital Appreciation - Identifies clients seeking to grow principal value over time, and willing to invest in securities with moderate to above-average historical risk of loss of principal.
  • Speculation - Identifies clients seeking a significant increase in principal, and willing to accept a corresponding greater degree of risk by investing in securities with high historical risk of loss of principal.
  • Trading Profits - Identifies clients seeking to take advantage of short-term trading opportunities (a high-risk strategy).

Risk Tolerance

How would you best describe your tolerance for risk?

  • Risk tolerance options are defined as:
  • Low: Conservative - I want to preserve my initial principal in this account, with minimal risk, even if that means this account does not generate significant income or returns and may not keep pace with inflation.
  • Medium: Moderate - I am willing to accept some risk to my initial principal and tolerate some volatility to seek higher returns, and understand I could lose a portion of the money invested.
  • High: Significant Risk - I am willing to accept maximum risk to my initial principal to aggressively seek maximum returns, and understand I could lose most, or all, of the money invested.

Investment Knowledge

What is your general investment knowledge?

Investment Products

Our understanding of your investment experience helps as we work together. Please provide your investment experience for each of the categories.

Stocks

Bonds

Options

Annual Income

  • Annual income includes income from sources such as employment, alimony, social security, investment income, etc.

Net Worth

  • Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage.

Liquid Net Worth

  • Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them.

Tax Rate

Annual Expenses

  • Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc.

Special Expenses

  • Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc.

Timeframe for Special Expenses

Liquidity Needs

  • The ability to quickly and easily convert to cash all or a portion of the investments in this account without experiencing significant loss in value from, for example, the lack of a ready market, or incurring significant costs or penalties is (check one):

Account Funding

What is the account funding source that you will use to initially fund your Keystone Capital Corporation account:

If selecting 'Other', please describe:

Date of end of U.S. Federal Income Tax Year

Annual Income

Estimated Net Worth

Investable/Liquid Net Worth

  • Annual Income - Annual income includes income from sources such as employment, alimony, social security, investment income, etc.
  • Net Worth - Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage.
  • Liquid Net Worth - Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them.

What is the account funding source that you will use to initially fund your Keystone Capital Corporation account?

If selecting 'Other', please describe:

Completing the next section, Authorized Individual Access, gives the person you designate the authority to do any or all of the following in your account:

Please note, entity account types (Partnerships, LLCs, and Corporations) are required to add at least one authorized individual to the account.





This form is intended to capture required information. Please complete this form for each authorized individual and attach it to the account application. IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT: To help the government fight the funding of terrorism and money-laundering activities, Federal law requires that Keystone Capital Corporation verify your identity by obtaining your name, date of birth, address, and a government-issued identification number before opening your account. In certain circumstances, Keystone Capital Corporation may obtain and verify this information with respect to any person(s) authorized to effect transactions in an account. For certain entities, such as trusts, estates, corporations, partnerships, or other organizations, identifying documentation is also required. Your account may be restricted and/or closed if Keystone Capital Corporation cannot verify this information. Keystone Capital Corporation will not be responsible for any losses or damages (including but not limited to lost opportunities) resulting from any failure to provide this information, or from any restriction placed upon, or closing of, your account.

U.S. Citizen or Permanent Resident?

Upload Front of I.D.

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Upload Back of I.D.

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I represent that I have read the terms and conditions set forth in the Customer Agreement concerning this account and agree to be bound by such terms and conditions as are currently in effect as may be amended from time to time. I also acknowledge that the agreements contain a pre-dispute arbitration clause.


Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

Are any principals or authorized individuals affiliated with or employed by a stock exchange member or firm of an exchange, FINRA, or municipal securities Broker/Dealer?

If yes please specify the entity or entities below

Are any principals or authorized individuals a control person or affiliate of a public company under SEC Rule 144 (such as a director, 10% shareholder, or policy-making officer) or an immediate family member or household member of such a person?

If yes, please provide the company name and ticker symbol.

Are any principals or authorized individuals a senior political figure, a family member, or relative of a senior political figure?

Annual Income

  • Annual income includes income from sources such as employment, alimony, social security, investment income, etc.

Net Worth

  • Net worth is the value of your assets minus your liabilities. For purposes of this application, assets include stocks, bonds, mutual funds, other securities, bank accounts, and other personal property. Do not include your primary residence among your assets. For liabilities, include any outstanding loans, credit card balances, taxes, etc. Do not include your mortgage.

Liquid Net Worth

  • Liquid net worth is your net worth minus assets that cannot be converted quickly and easily into cash, such as real estate, business equity, personal property and automobiles, expected inheritances, assets earmarked for other purposes, and investments or accounts subject to substantial penalties if they were sold or if assets were withdrawn from them.

Tax Rate

Annual Expenses

  • Annual expenses might include mortgage payments, rent, long-term debts, utilities, alimony or child support payments, etc.

Special Expenses

  • Special expenses might include a home purchase, remodeling a home, a car purchase, education, medical expenses, etc.

Timeframe for Special Expenses

Liquidity Needs

  • The ability to quickly and easily convert to cash all or a portion of the investments in this account without experiencing significant loss in value from, for example, the lack of a ready market, or incurring significant costs or penalties is (check one):

Investment Knowledge

What is your general investment knowledge?

Investment Products

Our understanding of your investment experience helps as we work together. Please provide your investment experience for each of the categories.

Stocks

Bonds

Options

Keystone Capital Corporation will provide account documents related to this account in electronic form. Please read the information below carefully and thoroughly, and if you can access this information electronically to your satisfaction and agree to these terms and conditions, please confirm your agreement by clicking the ‘I agree’ button at the bottom of this agreement.


Acknowledging your access and consent to receive materials electronically

To confirm to us that you can access this information electronically, which will be similar to other electronic notices and disclosures that we will provide to you, please verify that you were able to read this electronic disclosure and that you also were able to print on paper or electronically save this page for your future reference and access or that you were able to e-mail this disclosure and consent to an address where you will be able to print on paper or save it for your future reference and access. Further, if you consent to receiving notices and disclosures exclusively in electronic format on the terms and conditions described above, please let us know by clicking the ‘I agree’ button below.

By checking the ‘I agree’ box, I confirm that:

  • I can access and read this ELECTRONIC RECORD AND SIGNATURE DISCLOSURES document.

  • I can print on paper the disclosure or save or send the disclosure to a place where I can print it, for future reference and access.

  • Until or unless I notify Keystone Capital Corporation as described above, I consent to receive from exclusively through electronic means all notices, disclosures, authorizations, acknowledgements, and other documents that are required to be provided or made available to me by accessing the https://kccbd.etc-clearing.com web site during the course of my relationship with you.

     

You will be notified via email when certain documents are available for download. Please indicate if you would like to receive the documents mentioned below via email or paper copy (mail). For your convenience, confirmations, statements, and tax related documents are available for download by logging into your Keystone customer web portal.





Please select which electronic communications you wish to receive or select all

Completing the next section will be considered your request for Keystone Capital Corporation to provide electronic access to the documents checked to the party or parties indicated.

Would you like to send duplicate copies of electronic communications regarding your account to a third party?





Please send duplicate copies of the following documents to the person listed below:

Duplicate Copy Recipients

Documents Available to Third Parties

Election Notices

Prospectuses

Account Statements

Tax Related Documents

Marketing & Sales

Trade Confirmations

This account will trade digital securities only. Would you like to be contacted with information for opening a non digital NMS margin account with Keystone Capital Corporation?





Please scan and upload proof of your mailing address from the past 90 days (e.g.Utility Bill, Credit Card Statement, Bank Statement).


Upload Proof of Address

Accepted File Type: .pdf, .jpg, .jpeg, or .png

 

Please upload any additional documentation that is relevant to opening this account with Keystone Capital Corporation (e.g. trust agreements, custodian agreements, articles of incorporation, bylaws, etc.)

Add Document

Accepted File Type: .pdf, .doc, or .docx

Please review and have all parties sign the Customer Agreement below.

This Agreement contains a pre-dispute arbitration clause. I acknowledge that I have received, and read, a copy of this Agreement, and by executing this agreement below I agree to be bound by the terms and conditions contained herein.

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

The undersigned Corporation, by _________________, its President, pursuant to the resolutions, a copy of which, certified by the Secretary, is annexed hereto, hereby authorizes Keystone Capital Corporation to open an account in the name of said Corporation; and the undersigned represents that no other than the Corporation has any interest in such account. The undersigned also encloses herewith your Customer Agreement executed on behalf of the Corporation. This authorization shall continue in force until revoked by the undersigned Corporation by a written notice, addressed to Keystone Capital Corporation and delivered at 12230 El Camino Real, Suite 230 San Diego California 92130.

Date:

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

I, __________________________ being the Secretary of __________________, hereby certify that the annexed resolutions were duly adopted at a meeting of the Board of Directors of said Corporation, duly held in accordance with its charter and by-laws on the date at which a quorum was at all times present and acting, that said resolutions have not been amended, rescinded or revoked, and are in no way in conflict with any of the provisions of the charter or By-laws of said Corporation.

I further certify that each of the following has been duly elected and is now legally holding the office set opposite his name:

Name of Officer

Title

I further certify that the said Corporation is duly organized and existing and has the power to take the action called for by the resolutions annexed hereto. IN WITNESS WHEREOF, I have hereunto affixed my hand on this date 01/17/2016

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

CERTIFIED COPY OF CERTAIN RESOLUTIONS ADOPTED BY THE BOARD OF DIRECTORS WHEREBY THE ESTABLISHMENT AND MAINTENANCE OF TRADING ACCOUNTS HAVE BEEN AUTHORIZED

RESOLVED,
First: That the President or any Vice President of this Corporation, or [NAME(S) OF OTHER AUTHORIZED OFFICERS] be and they hereby are, and each of them hereby is, authorized and empowered, for and on behalf of this Corporation (herein called the “Corporation”), to establish and maintain one or more accounts (which may be margin accounts), with Keystone Capital Corporation, Inc. purpose of purchasing, investing in, or otherwise acquiring, selling (including short-sales), possessing, transferring, exchanging, or otherwise disposing of, turning to account of, or realizing upon, and generally dealing in and with any and all forms of securities including, but not by way of limitations, shares, stocks, bonds, debentures, notes, script, participation certificates, rights to subscribe, options, warrants, certificates of deposit, mortgages, evidences of indebtedness, commercial paper, certificates of indebtedness and certificates of interest of any and every kind and 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 officers 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 Keystone Capital Corporation with respect to said transaction; (to borrow money and securities and to borrow such money and securities from or through Keystone Capital Corporation , and secure repayment thereof with the property of the Corporation); 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 officer and/or agent for and on behalf of the Corporation with or through Keystone Capital Corporation; to pay in cash or by checks and/or drafts upon the funds of the Corporation such sums as may be necessary in connection with any of the said accounts; (to deliver securities and contracts to Keystone Capital Corporation); to deliver securities to/and deposit funds with, Keystone Capital Corporation; to order the transfer or delivery of securities to any other person whatsoever, and/or to order the transfer of record of any securities, to any name selected by any of the said officers or agents; to affix the corporate seal to any documents or securities to any name selected by any of the said officers or agents; to affix the corporate seal to any documents or agreements, or otherwise; to endorse any securities and/or contracts in order to pass title thereto; to direct the sale or exercise of any rights with respect to any securities; to sign for the Corporation all releases, powers of attorney, and/or other documents in connection with any such account, and to agree to any terms or conditions to control any such account; to direct Keystone Capital Corporation 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 persons to do any and all things which any of the said officers 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 officer and/or agent with respect thereto.

Second: That Keystone Capital Corporation may deal with any and all of the persons directly or indirectly by the foregoing resolution empowered, as though they were dealing with the Corporation directly.

Third: That the Secretary of the Corporation is and hereby is authorized empowered and directly to certify, under the seal of the Corporation, or otherwise, to Keystone Capital Corporation:

  • A true copy of these resolutions
  • Specimen signatures of each and every person by these resolutions empowered
  • A certificate (which, if required by Keystone Capital Corporation, shall be supported by an opinion of the general counsel of the Corporation, or other counsel satisfactory to Keystone Capital Corporation) that the Corporation is duly organized and existing, that its charter empowers it to transact the business by the resolutions defined, and that no limitations has been imposed upon such powers by the By-Laws or otherwise

Fourth: That Keystone Capital Corporation may rely upon any certification given in accordance with these resolutions, as continuing fully effective unless and until Keystone Capital Corporation shall receive due written notice of 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 an officer of the Corporation or becomes an officer under some other title, in any way affect 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.

Fifth: That in the event of any change in the office or powers of persons hereby empowered, the Secretary shall certify such changes to Keystone Capital Corporation in writing in the manner hereinabove 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.

Sixth: That the foregoing resolutions and the certificates actually furnished to Keystone Capital Corporation 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 Keystone Capital Corporation.

Seventh: That the Corporation and its officers indemnifies and holds Keystone Capital Corporation harmless from any claim, loss, expense or liability for effecting any transactions and acting upon any instructions given by the officers or Secretary of the Corporation.

AUTHORIZATION TO OPEN ACCOUNT


(“Company”), by ______________1, pursuant to the resolutions on this form, which, certified by a member of the Company, hereby authorizes Keystone Capital Corporation to open an account including, but not limited to, Cash, Margin, Option and other accounts in the name of said Company. This authorization shall continue in force until revoked by the above-named Company by a written notice, addressed and delivered to Keystone Capital Corporation at its main office.

Date:

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

CERTIFICATIONS AND RESOLUTIONS

I, ____________________ 2, its __________________3, hereby certify the following:

A. That the Company identified above is duly organized and existing under the laws of the state of:

and has the power to take the action called for by the resolutions on this form.

B. That each of the following is a manager, is now legally holding the office set opposite his name, if any, and that anyone of them acting individually be, and they hereby are, authorized to purchase, trade, sell, assign, transfer and/or deliver any and all stocks, bonds, options, or any other securities, listed or unlisted, in said account and to execute any and all instruments necessary, proper and desirable for the purpose, including executing any and all documentation necessary to establish accounts and other; further that any past action in accordance herewith is hereby ratified and confirmed; and further, that any Member of this Company is hereby authorized to certify this resolution to Keystone Capital Corporation.

Authorized Individuals

C. That the resolutions on this form were duly adopted by the Members of said Company at a meeting of the Board of Directors of the said LLC, held in accordance with its Charter and By-laws on the date at which a quorum was at all times present and acting, the attached resolutions were duly adopted, that said resolutions have not been amended, rescinded or revoked, and are in no way in conflict with any of the provisions of the charter or by-laws of said LLC.

D. That the resolutions herein are not contrary to any provision in the Certificate of Formation and/or Operating Agreement of this Company, and that I have been authorized to make this certification on behalf of this Company.

E. The undersigned agrees that any information given on this account agreement is subject to verification and authorizes Keystone Capital Corporation to obtain a credit or other financial responsibility report with respect to the registered account holder as well as any individual authorized to transact business on behalf of the registered account holder, and that the undersigned is authorized to express the consent of such authorized individuals to obtain a report, and that such individuals have been notified of the possibility thereof. Upon written request, Keystone Capital Corporation will provide the name and address of the credit reporting agency used.

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

CERTIFIED COPY OF CERTAIN RESOLUTIONS ADOPTED BY THE BOARD OF DIRECTORS WHEREBY THE ESTABLISHMENT AND MAINTENANCE OF TRADING ACCOUNTS HAVE BEEN AUTHORIZED

RESOLVED,
First: That the President or any Vice President of this Corporation, or [NAME(S) OF OTHER AUTHORIZED OFFICERS] be and they hereby are, and each of them hereby is, authorized and empowered, for and on behalf of this Corporation (herein called the “Corporation”), to establish and maintain one or more accounts (which may be margin accounts), with Keystone Capital Corporation, Inc. purpose of purchasing, investing in, or otherwise acquiring, selling (including short-sales), possessing, transferring, exchanging, or otherwise disposing of, turning to account of, or realizing upon, and generally dealing in and with any and all forms of securities including, but not by way of limitations, shares, stocks, bonds, debentures, notes, script, participation certificates, rights to subscribe, options, warrants, certificates of deposit, mortgages, evidences of indebtedness, commercial paper, certificates of indebtedness and certificates of interest of any and every kind and 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 officers 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 Keystone Capital Corporation with respect to said transaction; (to borrow money and securities and to borrow such money and securities from or through Keystone Capital Corporation , and secure repayment thereof with the property of the Corporation); 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 officer and/or agent for and on behalf of the Corporation with or through Keystone Capital Corporation; to pay in cash or by checks and/or drafts upon the funds of the Corporation such sums as may be necessary in connection with any of the said accounts; (to deliver securities and contracts to Keystone Capital Corporation); to deliver securities to/and deposit funds with, Keystone Capital Corporation; to order the transfer or delivery of securities to any other person whatsoever, and/or to order the transfer of record of any securities, to any name selected by any of the said officers or agents; to affix the corporate seal to any documents or securities to any name selected by any of the said officers or agents; to affix the corporate seal to any documents or agreements, or otherwise; to endorse any securities and/or contracts in order to pass title thereto; to direct the sale or exercise of any rights with respect to any securities; to sign for the Corporation all releases, powers of attorney, and/or other documents in connection with any such account, and to agree to any terms or conditions to control any such account; to direct Keystone Capital Corporation 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 persons to do any and all things which any of the said officers 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 officer and/or agent with respect thereto.

Second: That Keystone Capital Corporation may deal with any and all of the persons directly or indirectly by the foregoing resolution empowered, as though they were dealing with the Corporation directly.

Third: That the Secretary of the Corporation is and hereby is authorized empowered and directly to certify, under the seal of the Corporation, or otherwise, to Keystone Capital Corporation:

  • A true copy of these resolutions
  • Specimen signatures of each and every person by these resolutions empowered
  • A certificate (which, if required by Keystone Capital Corporation, shall be supported by an opinion of the general counsel of the Corporation, or other counsel satisfactory to Keystone Capital Corporation) that the Corporation is duly organized and existing, that its charter empowers it to transact the business by the resolutions defined, and that no limitations has been imposed upon such powers by the By-Laws or otherwise

Fourth: That Keystone Capital Corporation may rely upon any certification given in accordance with these resolutions, as continuing fully effective unless and until Keystone Capital Corporation shall receive due written notice of 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 an officer of the Corporation or becomes an officer under some other title, in any way affect 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.

Fifth: That in the event of any change in the office or powers of persons hereby empowered, the Secretary shall certify such changes to Keystone Capital Corporation in writing in the manner hereinabove 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.

Sixth: That the foregoing resolutions and the certificates actually furnished to Keystone Capital Corporation 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 Keystone Capital Corporation.

Seventh: That the Corporation and its officers indemnifies and holds Keystone Capital Corporation harmless from any claim, loss, expense or liability for effecting any transactions and acting upon any instructions given by the officers or Secretary of the Corporation.

Please provide copies of those pages of the Partnership Agreement which provide the official name of the Partnership and all signatures.

Add Document

Accepted File Type: .pdf, .doc, or .docx

The undersigned jointly and severally agree that each of the persons named herein shall have authority on behalf of the Partnership account to buy, sell, trade and otherwise deal in, through Keystone Capital Corporation, stocks, bonds, options and any other securities, listed or unlisted on margin or otherwise (including short sales); to receive on behalf of the Partnership account demands, notices, confirmations, reports, statements of account, and communications of every kind; to receive on behalf of the Partnership account money, securities, and property of every kind, and to dispose of same; to make on behalf of the Partnership account agreements relating to any of the foregoing matters and to terminate or modify same or waive any of the provisions thereof; and generally to deal with Keystone Capital Corporation on behalf of the Partnership account as fully and completely as if he alone were interested in said account, all without notice to the other or others interested in said account.

The undersigned further authorizes Keystone Capital Corporation, in the event of death or retirement of any of the partners of said Partnership to take such proceedings, require such papers, retain such portion of or restrict transactions in said account as Keystone Capital Corporation may deem advisable to protect Keystone Capital Corporation against any liability, penalty or loss under any present or future law or otherwise. It is further agreed that in the event of the death or retirement of any partner of the said Partnership, the remaining partners will immediately cause Keystone Capital Corporation to be notified of such fact.

Each of the undersigned has signed and completed the respective Account Application which is intended to cover, in addition to the provisions hereof, the terms upon which the Partnership account is to be carried.

This authorization and indemnity is in addition to, and in no way limits or restricts, any rights which Keystone Capital Corporation may have under any other agreement or agreements between Keystone Capital Corporation and the undersigned, or any of them, now existing or hereafter entered into, and is binding on the undersigned and their legal representatives, successors, and assigns. This authorization and indemnity is also a continuing one and shall remain in full force and effect until revoked by a written notice, addressed to Keystone Capital Corporation and delivered to Keystone Capital Corporation’s main office, at 12230 El Camino Real, Suite 230, San Diego CA 92130, signed by the required number of partners.

SIGNATURE OF PARTNER(S)

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

In consideration of your opening and/or maintaining one or more accounts for the Trust named below, we, the undersigned Trustee(s) certify as follows:

1. The legal title of the Trust to which this certification applies:

2. The date of the trust is:

3. The date of the latest trust agreement is:

4. The beneficiaries of the trust are:

5. There are no other Trustees of the Trust other than the undersigned. If only one person is named, it is a representation that the person named is the sole Trustee and that no other persons have the power to act as Trustee.

6. You, the broker-dealer and the clearing agent, have the authority to accept orders and other instructions relative to the Trust account from those individuals or entities listed below. They may execute any document on behalf of the Trust which you may require. Notwithstanding the foregoing, you are authorized in your discretion to require joint action by all Trustees with respect to any matter concerning the Trustee account, including but not limited to the giving or cancellation of orders or other instructions, and the withdrawal or transfer of money, securities, futures, or commodities.

7. We, the Trustees, certify that we have power under the applicable operating documents and applicable law to enter into transactions, and to give instructions, including purchases, sales and transfers of the types specified below. (Check all that apply).

If selecting 'Other' above, please describe:

8. We, the Trustees, jointly and severally, indemnify you and hold you harmless from any liability, claims or expenses for accepting instructions (including instructions related to investments, withdrawals, distributions and transfers) and effecting transactions pursuant to instructions given by any of the individuals and entities listed in Item 6 of this certification.

9. We agree to inform you, in writing, of any amendment to the Trust, any change in the composition of the Trustees or any other event that could materially alter the certifications made herein.

10. We hereby certify that the undersigned are of the Trustees and that the statements contained in this certification are true and correct and there are no other provisions in the Trust or amendments to it that limit the powers of the Trustees to sell, convey, pledge, mortgage, lease, or transfer title to or interest in real or personal property including, without limitation, stocks, bonds, note, warrants and other securities or to trade securities on margin or otherwise for and at the Risk of the Trust provided.

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

Please review and have all parties sign the Disclosure and Authorization below.

Disclosure and Authorization

I hereby authorize KEYSTONE CAPITAL CORPORATION and/or any entity directed by KEYSTONE CAPITAL CORPORATION to obtain a credit and background investigation report about me in relation to this agreement. I understand that a “consumer credit report” includes any information regarding my credit worthiness, credit standing and credit capacity. I further understand and agree that a credit report and/or a background investigation report may be obtained at any time, and any number of times, as KEYSTONE CAPITAL CORPORATION in its sole discretion determines is necessary before, during or after my involvement with KEYSTONE CAPITAL CORPORATION.

I further understand that if I am in the state of California, Minnesota, or Oklahoma, I can receive a free copy of any credit report requested by KEYSTONE CAPITAL CORPORATION about me at the same time the report is provided to KEYSTONE CAPITAL CORPORATION (check the box below if copy desired).

I hereby authorize all reporting agencies and other persons or entities having information about me to provide such information to KEYSTONE CAPITAL CORPORATION or other entity that obtains information for KEYSTONE CAPITAL CORPORATION. I further fully release KEYSTONE CAPITAL CORPORATION, its employees, officers, directors, agents, successors and assigns, and all other parties involved in this background investigation, including but not limited to investigators, credit agencies and those companies or individuals who provide information to KEYSTONE CAPITAL CORPORATION concerning me, from any claims or actions for any liability whatsoever related to the process or results of the background investigation.

California, Oklahoma, and Minnesota only:

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

Please review and have all parties sign the Digital Securities Disclosure below.

Digital Securities Disclosure

Digital securities, through accounts opened and maintained at Keystone Capital Corporation, will be traded exclusively on a closed trading system with limited volume and liquidity. The use of tØ technology, “Keystone Lite Trader” digital securities trading platform, and distributed ledger technology by the Pro Securities ATS is novel and untested with respect to digital securities. The digital securities proprietary and distributed ledgers will be publicly available, which may give rise to privacy concerns. The private cryptographic keys associated with digital securities could be stolen. The number of digital securities traded on the Pro Securities ATS may be very small, making the market price more easily manipulated. Should distributed ledger technology cease to be available, investors may not be willing to transact in digital securities. The Pro Securities ATS is not a stock exchange and has no listing requirements for issuers or for the securities traded. The price of digital securities, even when the issuer issues digital equity securities that rank on a parity with the issuer’s common stock, are not pegged to the value of the issuer’s common stock.

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

Please review the following information to ensure it is accurate. If you need to make changes, please select the back button to navigate to the appropriate section. You may now download, print, and sign the following application.

Please review the following information to ensure it is accurate. If you need to make changes, please select the back button to navigate to the appropriate section.

Tax Withholding Certifications

Please select one:

Date:

The parties agree that this agreement may be electronically signed. The parties agree that the electronic signatures appearing on the agreement are the same as handwritten signature for the purposes of validity, enforceability and admissibility.

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