Investors Due Diligence Forms
Young America Capital requires the following documents from investors before participation in an offering. Your YAC representative will confirm which forms apply to you.
| Form | Completed by | Pages | |
|---|---|---|---|
Customer Identification Program QuestionnaireIdentity, government-issued ID and investor profile, including investment objectives, experience, risk tolerance and accredited investor attestation. |
The investor | 1 | Open PDF |
Accredited Investor Verification LetterWritten confirmation of accredited investor status for offerings under Rule 506(c) of Regulation D. |
A registered broker-dealer, investment adviser, attorney or CPA | 1 | Open PDF |
Background & Credit Check AuthorizationAuthorizes YAC to obtain background and consumer credit reports as part of client acceptance. |
The investor | 1 | Open PDF |
Certification of Beneficial Owner(s)For investors investing through a legal entity. Identifies each owner of 25% or more (10% for non-U.S. entities) and one individual with significant management responsibility. |
Entity investors | 2 | Open PDF |
Corporate Authorization ResolutionFor investors investing through a legal entity. Certified resolution naming the officer authorized to sign on the entity's behalf. |
Corporate secretary of the investing entity | 1 | Open PDF |
Submitting forms
Completed forms include personal identification and financial information. Your YAC representative will confirm how to deliver them securely.
Why this information is required
As a registered broker-dealer, YAC is required to verify the identity of its customers under federal anti-money-laundering rules, and to know its customers and assess suitability under FINRA Rules 2090 and 2111. Offerings made under Rule 506(c) also require verification of accredited investor status.
Young America Capital, LLC is registered with the SEC and MSRB and is a member of FINRA. Completing these forms does not guarantee participation in any offering. Investments in private placements are speculative, illiquid and involve a high degree of risk, including the possible loss of the entire investment. This page is not an offer to sell, or a solicitation of an offer to buy, any security. Any offering is made only through its offering documents.
Check the background of Young America Capital and its registered representatives on FINRA's BrokerCheck.