Instruction for Trust Account

Thank you for choosing SogoTrade!

Our priority in servicing our new customers is to ensure that we have all the necessary documentation on
file. This process helps us in protecting the security of each client as well as preparing for future
transactions such as wire, check, and ACH withdrawals.

Below is the required paperwork. Please submit the following via email, fax or mail.

 Trust Account Documents

 Copy of the “Trust Documents” *

 Copy of Driver’s License for all Trustees *

 Copy of Social Security Card for all Trustee *

 W9 Certification Form for Trust Tax ID and all Trustees *

 3 preferred user IDs (letters and numbers only, between 6-32 in length) *
W e will m ake a selection based on the availability. Once the User ID is assigned to your account, a password will
be generated automatically from our system , which you will be informed. You may then change your password to
your choice.

* These documents are provided by the customer and not by SogoTrade.

SogoTrade New Account Contact

Em ail: [email protected]

Fax Number: 1-888-710-7646 (Domestic) 1-646-459-2749 (International)

Tel (English): 1-888-709-7646 (Domestic) 1-646-885-6594 (International)
Tel (Chinese):1-888-681-7646 (Domestic) 1-646-885-6246 (International)
Mailing Address: SogoTrade, Inc.
1 McBride and Son Center Drive, Suite 288
Chesterfield, MO 63005
Attention: New Account Department

SogoTrade, Inc. Member of FINRA www.finra.org / SIPC www.sipc.org

 SOGOTRADE
ACCOUNT NUMBER

BRANCH NUMBER

NEW ACCOUNT APPLICATION

I (We) would like to open a brokerage account with you (“my broker”). I understand that you have designated Apex Clearing Corporation (“Clearing Firm”) as your clearing firm.
ACCOUNT INFORMATION (NOTE: ALL INFORMATION MUST BE COMPLETED.) PLEASE TYPE OR PRINT

Account Type
CASH (Customer Account Agreement following this application) MARGIN & SHORT (Request Margin Agreement) OPTION (Request Option Agreement)

Customer
Type Individual Sole Proprietorship (Request Form)
Joint (Request Joint Account Agreement) C-Corporation (Request Form)
Estate (Furnish Court Appointment) S-Corporation (Request Form)
IRA/KEOGH (Do not use this agreement if Apex is to be the Custodian)
UTMA/UGMA (Please list state code for UTMA/UGMA) Other (Please specify)

To be answered if the account holder is a broker or dealer (which includes a foreign broker or dealer, or a foreign bank acting as a broker or dealer): Is this an account a PAB
account, meaning a proprietary securities account of a broker or dealer as defined by SEC 15c3-3(a)(16)?
Yes No (Selection Required)
If 'yes', please complete a 'New Account Form for Proprietary Account Broker (PAB)' form, along with a 'New Account Application Entity' form. Note: the New Account Form is not
sufficient to have a proprietary account of a Broker Dealer opened.
Account ACCOUNT NAME OR NAME OF MINOR IF CUSTODIAL ACCOUNT DATE OF BIRTH SOCIAL SECURITY/TAX ID NUMBER U.S. Citizen IF NO, WHAT COUNTRY?
Information Yes
No
JOINT APPLICANT NAME DATE OF BIRTH SOCIAL SECURITY/TAX ID NUMBER U.S. Citizen IF NO, WHAT COUNTRY?
Yes
No
HOME ADDRESS E-MAIL ADDRESS

MAILING ADDRESS (if P.O. Box, customer’s home address must also be provided) MAIL TO MARRIED
C
h O Single (S) Divorced (D)
Home Married (M) Widowed (W)
e n
JOINT APPLICANT’S ADDRESS (if different than primary account holder’s address)
c e Business Number of
k P.O. Box Dependents
HOME TELEPHONE BUSINESS TELEPHONE

EMPLOYER YEARS EMPLOYED POSITION

BUSINESS ADDRESS CITY STATE ZIP CODE

JOINT APPLICANT EMPLOYED BY: POSITION BUSINESS ADDRESS

HAVE YOU GRANTED TRADING AUTHORIZATION TO ANOTHER PARTY?

Yes No If yes, request Trading Authorization Form and provide name of agent:
Is the account holder a control person of a publicly traded company? (Director, Officer or 10% Stock Owner)
Yes No If yes, please list the name of the company(s) and the stock ticker symbol. _________________________________________ I (We) promise to notify you of any change.
ARE YOU, OR ANYONE AUTHORIZED TO TRADE IN YOUR ACCOUNT, AFFILIATED WITH OR WORK WITH OR WORK FOR A MEMBER FIRM OF A STOCK EXCHANGE OR FINRA?
Yes No If yes, name of firm:

Bank Reference NAME TYPE OF ACCOUNT BRANCH AND ACCOUNT NUMBER

For your protection please
provide us with the last four
digits of your account number.
NAME TYPE OF ACCOUNT BRANCH AND ACCOUNT NUMBER Do not include the entire
account number.

HOME TELEPHONE EMAIL ADDRESS

Trusted Contact NAME

MAILING ADDRESS

Please see section 18 of the Customer Account Agreement for more information.

Suitability TIME HORIZON LIQUIDITY NEEDS The ability to quickly and easily convert all or a
Information The number of years planned to invest to achieve a particular financial goal. portion of the account assets into cash without experiencing significant loss.
Short (Less than 3 Years) (01) Longest (8 years or more) (03) Very Important (01) Not Important (03)
Average (4 to 7 Years) (02) Somewhat Important (02)

69054P-NEWF 02/06/2018 Page 1 of 6

Investment INVESTMENT INVESTMENT ANNUAL INCOME LIQUID NET WORTH TOTAL NET WORTH RISK
Profile OBJECTIVE EXPERIENCE (from all sources) (cash & liquid investments only) (excluding residence) TOLERANCE
Capital None (00) Under $25,000 (01) Under $50,000 (01) Under $50,000 (01) Low (01)
Preservation (05) Limited (01) $25,001 to $50,000 (02) $50,001 to $100,000 (02) $50,001 to $100,000 (02) Medium (02)
Income (04) Good (02) $50,001 to $100,000 (03) $100,001 to $200,000 (22) $100,001 to $200,000 (22) High (03)
Growth (03) Extensive (03) $100,001 to $200,000 (23) $200,001 to $500,000 (23) $200,001 to $500,000 (23)
Speculation (06) $200,001 to $300,000 (24) $500,001 to $500,001 to TAX BRACKET:
Other (08) $300,001 to $500,000 (25) $1,000,000 (24) $1,000,000 (24)
$500,001 to $1,200,000 (26) $1,000,001 to $1,000,001 to _%
Over $1,200,001 (27) $5,000,000 (25) $5,000,000 (25)
Over $5,000,001 (26) Over $5,000,001 (26)

Free Householding Service Free Dividend Reinvestment

The householding service combines mailings of account statements, tax- Select whether or not you would like to have your dividends reinvested
related statements, proxies, prospectuses, annual reports, and other eligible on all eligible securities. You can always change your selection later by
documents for accounts within your household into one envelope. calling your investment representative.
Please select one of the following options: Please select one of the following options:
I want to utilize the householding service. (This option requires a Reinvest dividends on ALL eligible securities.
Householding Authorization form to be completed. Please do not reinvest any dividends. Pay dividends in cash to my
I do not want to household this new account with any of my other accounts. money market account.
Enhanced E-Documents Enrollment When you enroll your account in E-Docs, you will receive trade confirmations, account statements, tax-related documents,
Account
Features
proxies, prospectuses, annual reports, and all other eligible account documents electronically. An e-mail notification will be sent to the Account Owner’s e-
mail address on the same day that any electronic documents become available. Just log into your account to access E-Docs and view, print or download
your electronic documents.

Please see your investment representative for enrollment information.

Direct Rule 14b-1(c) of the Securities Exchange Act, unless you object, requires us to disclose to an issuer, upon its request, the names, addresses, and
Communication securities positions of our customers who are beneficial owners of the issuer’s securities held by us in nominee name. The issuer would be permitted to
Rule 14b-1(c) use your name and other related information for corporation communication only. If you object to this disclosure check the box below.

Yes, I do object to the disclosure of such information.

Additional Is the account maintained for a current or former Politically Exposed Person or Public Official (includes U.S. and
Foreign Individuals)?
 Yes /  No
Account
Information
If yes, please provide the names of that official and official's immediate family members (including former spouses). Official and Immediate Family Member(s)

If yes, please provide the name of the related political organization. Political Organization

Is the account maintained for a Foreign Financial Institution as defined by Title 31 of the Code of Federal  Yes /  No
Regulations? If yes, please complete the "Foreign Financial Institution Due Diligence Questionnaire" form.

Is this account a Foreign Bank organized under foreign law and located outside of the United States as defined by  Yes /  No
Title 31 of the Code of Federal Regulations? If "yes", please ensure the "Certification Regarding Correspondent
Accounts" is complete (in addition to the "Foreign Financial Institution Due Diligence Questionnaire" form).
NOTE: Broker-dealers are prohibited from establishing, maintaining, administering or managing correspondent
accounts in the United States for foreign shell banks. The prohibition does not include foreign shell banks that
are regulated affiliates.

If yes, please list U.S. Agent for service of process.

W-9 Under penalties of perjury, I certify that: (1) The number shown on this form is my correct taxpayer identification number (or I am waiting for Exemptions (see instructions):
Certification a number to be issued to me), and (2) I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I
have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all Exempt payee
interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and (3) I am a U.S. citizen or other
U.S. person (defined below), and (4) The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is code (if any)
correct.
Exemption from FATCA reporting
Definition of a U.S. person. For federal tax return purposes, you are considered a U.S. person if you are: An individual who is a U.S. citizen
or U.S. resident alien, A partnership, corporation, company, or association created or organized in the United States or under the laws of code (if any)
the United States, An estate (other than a foreign estate), or A domestic trust (as defined in Regulations section 301.7701-7).

The Internal Revenue Service does not require your consent to any provisions of this document other than the certifications required to
avoid backup withholding.

Signatures I authorize my broker and/ or Clearing Firm to obtain a consumer report at the time of application to verify my creditworthiness and to obtain a consumer
report from time to time for updates, renewals, extensions, and collection activity on any approved account. Upon my written request, my broker and/ or
Clearing Firm will disclose to me whether it obtained a report, and if so, the name and address of the consumer-reporting agency that provided it. In the
event that my account is denied by Clearing Firm, as a result of the consumer report verification, I authorize Clearing Firm to provide to my broker the
reason(s) for such denial.

BY SIGNING THIS APPLICATION, I (WE) ACKNOWLEDGE THE FOLLOWING: (1) THAT, PAGE 4 PARAGRAPH 8 OF THE CUSTOMER
ACCOUNT AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE AND IN ACCORDANCE WITH THIS AGREEMENT I (WE) AGREE IN
ADVANCE TO ARBITRATE ANY CONTROVERSIES WHICH MAY ARISE BETWEEN OR AMONG ME (US), MY BROKER, AND/OR CLEARING
FIRM, (2) RECEIPT OF A COPY OF THE CUSTOMER ACCOUNT AGREEMENT FOLLOWING THIS APPLICATION AND MY (OUR) AGREEMENT
WITH THE TERMS THEREIN AND (3) THE INFORMATION PROVIDED ABOVE IS ACCURATE.

SIGNATURE DATE SIGNATURE OF JOINT APPLICANT DATE

⇒ ⇒
FOR JOINT ACCOUNTS BOTH PARTIES MUST SIGN FORM
FOR OFFICE FIRST TRADE DATE DATE OPENED [IB] BRANCH MGR APPROVAL
USE ONLY

CUSTOMER ID [IB] REP. SIGNATURE

VERIFIED
Yes No

69054P-NEWF 02/06/2018 Page 2 of 6

 CUSTOMER ACCOUNT
AGREEMENT
This Customer Account Agreement (the “Agreement”) sets forth the respective rights and obligations of Apex Clearing Corporation (“you” or “your” or
“Apex”) and the Customer’s (as defined below) brokerage firm (the “Introducing Broker”), and the customer(s) identified on the New Account Application
(the “Customer”) in connection with the Customer’s brokerage account with the Introducing Broker (“the Account”). The Customer hereby agrees as follows
with respect to the Account, which the Customer has established with the Introducing Broker for the purchase, sale or carrying of securities or contracts
relating thereto and/or the borrowing of funds, which transactions are cleared through you. To help the government fight the funding of terrorism and money
laundering, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. In
order to open an account, the Customer will provide information that will allow you to identify the Customer including, but not limited to, the Customer’s
name, address, date of birth, and the Customer’s driver’s license or other identifying documents.

1. Applicable Rules and Regulations. All transactions for the Account shall be subject to the constitution, rules, regulations, customs and usages of the
exchange or market and its clearing house, if any, upon which such transactions are executed, except as otherwise specifically provided in this Agreement.

2. Definitions. "Obligations" means all indebtedness, debit balances, liabilities or other obligations of any kind of the Customer to you, whether now
existing or hereafter arising. "Securities and other property" shall include, but shall not be limited to, money, securities, commodities or other property of
every kind and nature and all contracts and options relating thereto, whether for present or future delivery.

2A. Investment Objective Definitions. “Capital Preservation” - a conservative investment strategy characterized by a desire to avoid risk of loss;
“Income” - strategy focused on current income rather than capital appreciation; “Growth” - investing in stocks with strong earnings and/or revenue
growth or potential; “Speculation” - taking larger risks, usually by frequent trading, with hope of higher than-average gain. All strategies involve various
types and levels of risk, the most common of which are market, credit, inflation, business and interest rate.

3. Breach; Security Interest. Whenever in your discretion you consider it necessary for your protection, or for the protection of the Customer’s
Introducing Broker or in the event of, but not limited to; (i) any breach by the Customer of this or any other agreement with you or (ii) the Customer's failure
to pay for securities and other property purchased or to deliver securities and other property sold, you may sell any or all securities and other property
held in any of the Customer's accounts (either individually or jointly with others), cancel or complete any open orders for the purchase or sale of any
securities and other property, and/or borrow or buy-in any securities and other property required to make delivery against any sale, including a short sale,
effected for the Customer, all without notice or demand for deposit of collateral, other notice of sale or purchase, or other notice or advertisement, each of
which is expressly waived by the Customer, and/or you may require the Customer to deposit cash or adequate collateral to the Customer's account
prior to any settlement date in order to assure the performance or payment of any open contractual commitments and/or unsettled transactions. You have
the right to refuse to execute securities transactions for the Customer at any time and for any reason. Any and all securities and other property belonging to
the Customer or in which the Customer may have an interest held by you or carried in any of the Customer's accounts with you (either individually or jointly
with others) shall be subject to a first and prior security interest and lien for the discharge of the Customer's obligations to you, wherever or however arising
and without regard to whether or not you have made advances with respect to such securities and other property, and you are hereby authorized
to sell and/or purchase any and all securities and other property in any of the Customer's accounts, and/or to transfer any such securities and other
property among any of the Customer's accounts to the fullest extent of the law and without notice where allowed. The losses, costs and expenses,
including but not limited to reasonable attorneys' fees and expenses, incurred and payable or paid by you in the (i) collection of a debit balance and/or any
unpaid deficiency in the accounts of the Customer with you or (ii) defense of any matter arising out of the Customer’s securities transactions, shall be
payable to you by the Customer. The Customer understands that because of circumstances beyond broker-dealers control, its customers’ voting rights
may be impaired. For example, if the stock of a company that another customer has purchased has not yet been received from the seller(s), then other
customers’ abilities to vote that company’s stock could be impaired until those shares are received. In addition, if the stock of a company that the
Customer has purchased has not yet been received from the seller(s), then payments received by the Customer from the Introducing Broker, in lieu of the
dividends on that stock not yet received, may receive tax treatment less favorable than that accorded to dividends.

4. Cancellation. You are authorized, in your discretion, should you for any reason whatsoever deem it necessary for your protection, without notice, to
cancel any outstanding order, to close out the accounts of the Customer, in whole or in part, or to close out any commitment made on behalf of the
Customer.

5. Payment of Indebtedness Upon Demand. The Customer shall at all times be liable for the payment upon demand of any obligations owing from the
Customer to you, and the Customer shall be liable to you for any deficiency remaining in any such accounts in the event of the liquidation thereof (as
contemplated in Paragraph 3 of this Agreement or otherwise), in whole or in part, by you or by the Customer; and the Customer shall make payment of
such obligations upon demand.

6. Accounts Carried as Clearing Broker. The Customer understands that you are carrying the accounts of the Customer as clearing broker by
arrangement with the Customer's Introducing Broker through whose courtesy the account of the Customer has been introduced to you. Until receipt from
the Customer of written notice to the contrary, you may accept from and rely upon the Customer’s Introducing Broker for (a) orders for the purchase or sale
in said account of securities and other property, and (b) any other instructions concerning the Customer's accounts. The Customer represents that the
Customer understands that you act only to clear trades introduced by the Customer's Introducing Broker and to effect other back office functions for the
Customer's introducing broker. The Customer confirms to you that the Customer is relying for any advice concerning the Customer's accounts solely on
the Customer's Introducing Broker. The Customer understands that all representatives, employees and other agents with whom the Customer
communicates concerning the Customer's account are agents of the Introducing Broker, and not your representatives, employees or other agents and the

69054P-NEWF 02/06/2018 Page 3 of 6

Customer will in no way hold you liable for any trading losses that the Customer may incur. The Customer understands that you are not a principal of or
partner with, and do not control in any way, the Introducing Broker or its representatives, employees or other agents. The Customer understands that you
will not review the Customer's accounts and will have no responsibility for trades made in the Customer's accounts. You shall not be responsible or liable
for any acts or omissions of the Introducing Broker or its representatives, employees or other agents. Notwithstanding the foregoing, in the event that the
Customer initiates a claim against you in your capacity as clearing broker and does not prevail, the Customer shall be responsible for the costs and
expenses associated with your defense of such claim. The Customer understands you shall be entitled to exercise and enforce directly against the
Customer all rights granted to the Introducing Broker.

6A. Accounts Carried as Custodian. In some cases the Customer’s account is being carried by arrangement with the Customer’s Investment Advisor or
Investment Manager, who uses you as their Broker-Dealer custodian. The Customer acknowledges that your role as custodian is to hold or custody
account assets, distribute or collect funds on behalf of the Customer’s account, execute and clear trades under instruction of the Customer’s Investment
Advisor or Investment Manager, generate account statements and provide other custodial services as may be mandated by various regulatory standards
and requirements. The Customer understands that in the capacity as custodian, you will not offer investment advice, review the Customer’s accounts,
and will have no responsibility for trades made in the Customer’s accounts. Additionally, in your capacity as custodian, you will not verify the accuracy of
management fees that the Customer pays to Investment Advisors or Investment Managers pursuant to the terms of the Investment Management
Agreement executed between the Customer and the Investment Advisor or Investment Manager. Notwithstanding the foregoing, in the event that the
Customer initiates a claim against you in your capacity as custodial broker and does not prevail, the Customer shall be responsible for the costs and
expenses associated with your defense of such claim.

7. Communications. You may send communications to the Customer at the Customer's address on the New Account Application or at such other
address as the Customer may hereafter give you in writing, and all communications so sent, whether by mail, telegraph, or otherwise, shall be deemed
given to the Customer personally, whether actually received or not. Reports of execution of orders and statements of accounts of the Customer shall be
conclusive if not objected to in writing to you, the former within five (5) days and the latter within ten (10) days, after forwarding by you by mail or
otherwise. In consideration of your sending any mail to me in care of a Post Office Box Address or a third party, I hereby agree that “all correspondence
of any nature whatsoever” sent to me in such address will have the same force and effect as if it had been delivered to me personally.

8. ARBITRATION AGREEMENT. THIS AGREEMENT CONTAINS A PREDISPUTE ARBITRATION CLAUSE. BY SIGNING AN ARBITRATION
AGREEMENT THE PARTIES AGREE AS FOLLOWS:

a. ALL PARTIES TO THIS AGREEMENT ARE GIVING UP THE RIGHT TO SUE EACH OTHER IN COURT, INCLUDING THE RIGHT TO A TRIAL
BY JURY EXCEPT AS PROVIDED BY THE RULES OF THE ARBITRATION FORM IN WHICH A CLAIM IS FILED;
b. ARBITRATION AW ARDS ARE GENERALLY FINAL AND BINDING; A PARTY’S ABILITY TO HAVE A COURT REVERSE OR MODIFY AN
ARBITRATION AWARD IS VERY LIMITED.
c. THE ABILITY OF THE PARTIES TO OBTAIN DOCUMENTS, WITNESS STATEMENTS AND OTHER DISCOVERY IS GENERALLY MORE
LIMITED IN ARBITRATION THAN IN COURT PROCEEDINGS;
d. THE ARBITRATORS DO NOT HAVE TO EXPLAIN THE REASON(S) FOR THEIR AWARD UNLESS, IN AN ELIGIBLE CASE, A JOINT REQUEST
FOR AN EXPLAINED DECISION HAS BEEN SUBMITTED BY ALL PARTIES TO THE PANEL AT LEAST 20 DAYS PRIOR TO THE FIRST
SCHEDULED HEARING DATE.
e. THE PANEL OF ARBITRATORS MAY INCLUDE A MINORITY OF ARBITRATORS WHO WERE OR ARE AFFILIATED WITH THE
SECURITIES INDUSTRY.
f. THE RULES OF SOME ARBITRATION FORUMS MAY IMPOSE TIME LIMITS FOR BRINGING A CLAIM IN ARBITRATION. IN SOME CASES, A
CLAIM THAT IS INELIGIBLE FOR ARBITRATION MAY BE BROUGHT IN COURT.
g. THE RULES OF THE ARBITRATION FORUM IN WHICH THE CLAIM IS FILED, AND ANY AMENDMENTS THERETO, SHALL BE INCORPORATED
INTO THIS AGREEMENT.

THE FOLLOWING ARBITRATION AGREEMENT SHOULD BE READ IN CONJUNCTION WITH THE DISCLOSURES ABOVE. ANY AND ALL
CONTROVERSIES, DISPUTES OR CLAIMS BETWEEN THE CUSTOMER AND YOU, OR THE INTRODUCING BROKER, OR THE AGENTS,
REPRESENTATIVES, EMPLOYEES, DIRECTORS, OFFICERS OR CONTROL PERSONS OF YOU OR THE INTRODUCING BROKER, ARISING OUT
OF, IN CONNECTION WITH, FROM OR WITH RESPECT TO (a) ANY PROVISIONS OF OR THE VALIDITY OF THIS AGREEMENT OR ANY RELATED
AGREEMENTS, (b) THE RELATIONSHIP OF THE PARTIES HERETO, OR (c) ANY CONTROVERSY ARISING OUT OF YOUR BUSINESS, THE
INTRODUCING BROKER'S BUSINESS OR THE CUSTOMER'S ACCOUNTS, SHALL BE CONDUCTED PURSUANT TO THE CODE OF ARBITRATION
PROCEDURE OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (“FINRA”). THE DECISION AND
AWARD OF THE ARBITRATOR(S) SHALL BE CONCLUSIVE AND BINDING UPON ALL PARTIES, AND ANY JUDGMENT UPON ANY AWARD
RENDERED MAY BE ENTERED IN A COURT HAVING JURISDICTION THEREOF, AND NEITHER PARTY SHALL OPPOSE SUCH ENTRY.
No person shall bring a putative or certified class action to arbitration, nor seek to enforce any pre-dispute arbitration agreement against any person who has
initiated in court a putative class action; or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed
by the putative class action until: (i) the class certification is denied; or (ii) the class is de-certified; or (iii) the customer is excluded from the class by the court.
Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein.

9. Representations. The Customer represents that the Customer is of majority age. The Customer represents either that the Customer is not an employee
of any exchange, or of any corporation of which any exchange owns a majority of the capital stock, or of a member of any exchange, or of a member firm or
member corporation registered on any exchange or of a bank, trust company, insurance company or of any corporation, firm or individual engaged in the
business dealing either as broker or as principal in securities, bills of exchange, acceptances or other forms of commercial paper, or alternatively, that the
Customer has obtained and will provide to you additional documentation which may include information required under FINRA Rule 407 from its employer
authorizing the Customer to open and maintain an account with you.

69054P-NEWF 02/06/2018 Page 4 of 6

If the Customer is a corporation, partnership, trust or other entity, the Customer represents that its governing instruments permit this Agreement, that this
Agreement has been authorized by all applicable persons and that the signatory on the New Account Application is authorized to bind the Customer. The
Customer represents that the Customer shall comply with all applicable laws, rules and regulations in connection with the Customer's account. The
Customer further represents that no one except the Customer has an interest in the account or accounts of the Customer with you.

10. Joint Accounts. If the New Account Application indicates that the Account shall consist of more than one person, the Customer's obligations under this
Agreement shall be joint and several. References to the "Customer" shall include each of the customers identified on the New Account Application. You may
rely on transfer or other instructions from any one of the Customers in a joint account, and such instructions shall be binding on each of the Customers. You
may deliver securities or other property to, and send confirmations; notices, statements and communications of every kind, to any one of the Customers, and
such action shall be binding on each of the Customers. Notwithstanding the foregoing, you are authorized in your discretion to require joint action by the joint
tenants with respect to any matter concerning the joint account, including but not limited to the giving or cancellation of orders and the withdrawal of money or
securities. In the case of Tenants by the Entirety accounts, joint action will be required for all matters concerning the joint account. Tenants by Entirety is not
recognized in certain jurisdictions, and, where not expressly allowed, will not be a permitted designation of the account.

11. Other Agreements. If the Customer trades any options, the Customer agrees to be bound by the terms of your Customer Option Agreement. The
Customer understands that copies of these agreements are available from you and, to the extent applicable, are incorporated by reference herein. The terms
of these other agreements are in addition to the provisions of this Agreement and any other written agreements between you and the Customer.

12. Data Not Guaranteed. The Customer expressly agrees that any data or online reports is provided to the Customer without warranties of any kind,
express or implied, including but not limited to, the implied warranties of merchantability, fitness of a particular purpose or non-infringement. The Customer
acknowledges that the information contained in any reports provided by you is obtained from sources believed to be reliable but is not guaranteed as to its
accuracy of completeness. Such information could include technical or other inaccuracies, errors or omissions. In no event shall you or any of your affiliates
be liable to the Customer or any third party for the accuracy, timeliness, or completeness of any information made available to the Customer or for any
decision made or taken by the Customer in reliance upon such information. In no event shall you or your affiliated entities be liable

for any special incidental, indirect or consequential damages whatsoever, including, without limitation, those resulting from loss of use, data or profits,
whether or not advised of the possibility of damages, and on any theory of liability, arising out of or in connection with the use of any reports provided by
you or with the delay or inability to use such reports.

13. Payment for Order Flow Disclosure. Depending on the security traded and absent specific direction from the Customer, equity and option orders are
routed to market centers (i.e., broker-dealers, primary exchanges or electronic communication networks) for execution. Routing decisions are based on a
number of factors including the size of the order, the opportunity for price improvement and the quality of order executions, and decisions are regularly
reviewed to ensure the duty of best execution is met. You or the Introducing Broker may receive compensation or other consideration for the placing of
orders with market centers for execution. The amount of the compensation depends on the agreement reached with each venue. The source and nature of
compensation relating to the Customer's transactions will be furnished upon written request.

14. Credit Check. You are authorized, in your discretion, should you for any reason deem it necessary for your protection to request and obtain a
consumer credit report for the Customer.

15. Miscellaneous. If any provision of this Agreement is held to be invalid or unenforceable, it shall not affect any other provision of this Agreement.
The headings of each section of this Agreement are descriptive only and do not modify or qualify any provision of this Agreement. This Agreement and its
enforcement shall be governed by the laws of the state of Texas and shall cover individually and collectively all accounts which the Customer has previously
opened, now has open or may open or reopen with you, or any introducing broker, and any and all previous, current and future transactions in such
accounts. Except as provided in this Agreement, no provision of this Agreement may be altered, modified or amended unless in writing signed by your
authorized representative. This Agreement and all provisions shall inure to the benefit of you and your successors, whether by merger, consolidation or
otherwise, your assigns, the Introducing Broker, and all other persons specified in Paragraph 8. You shall not be liable for losses caused directly or
indirectly by any events beyond your reasonable control, including without limitation, government restrictions, exchange or market rulings, suspension of
trading or unusually heavy trading in securities, a general change in economic, political or financial conditions, war or strikes. You may transfer the accounts
of the Customer to your successors and assigns. This Agreement shall be binding upon the Customer and the heirs, executors, administrators, successors
and assigns of the Customer. Failure to insist on strict compliance with this Agreement is not considered a waiver of your rights under this Agreement. At
your discretion, you may terminate this Agreement at any time on notice to the Customer, the Customer will continue to be responsible for any obligation
incurred by the Customer prior to termination. The Customer may not assign the Customer’s rights or delegate the Customer’s obligations under this
Agreement, in whole or in part, without your prior consent.

16. Sweep Program . If the Customer elects to participate in one of your FDIC or money market sweep programs, the Customer acknowledges and
agrees that: (a) the Customer has read and understands the sweep program terms and conditions and/or prospectuses available at
http://www.apexclearing.com/disclosures/ and is aware of the products available in such sweep programs; (b) you may make changes to your FDIC
and/or money market sweep programs and products at any time, in your sole discretion and with or without notice to Customer; (c) the free credit
balances in the Customer’s Account may begin being included in the sweep program upon Account opening; and (d) you have no obligation to
monitor the applicable sweep program elected for the Customer’s Account or to make recommendations about, or changes to, the sweep program
that might be beneficial to the Customer.

69054P-NEWF 02/06/2018 Page 5 of 6

17. Tax Treaty Eligibility. This agreement shall serve as the Customer’s certification that you are eligible to receive tax treaty benefits between the
country or (of) residence indicated on the new account form and the country (ies) of origin holding jurisdiction over the instruments held within the
customer’s account.

18. Trusted Contact. Under FINRA Rule 4512 Apex Clearing Corporation is required to disclose to you (the customer) that Apex Clearing
Corporation or an associated person of Apex Clearing Corporation is authorized to contact the trusted contact person and disclose information about
the customer’s account to address possible financial exploitation, to confirm the specifics of the customer’s current contact information, health status,
or the identity of any legal guardian, executor, trustee or holder of a power of attorney, or as otherwise permitted by FINRA Rule 2165.

69054P-NEWF 02/06/2018 Page 6 of 6

 Certificate of Trust
And Investment
Powers
 
In consideration of you and Apex Clearing Corporation (“Clearing Firm”) opening and maintaining one or more accounts for the Trust, the
undersigned Trustee(s) certify, represent and warrant that the Trust is in full force and effect and that the Trust Agreement has not been revoked,
amended or modified in any manner that would render this certification inaccurate. The Trustee(s) further represent and agree that the following
information is true, complete and accurate.
 

Trust Title Date of Trust

The Trust is Governed by the Law of the State of: The Trust is:
Revocable and amendable Irrevocable

List all Current Trustees

Name: ID #:
Signature: ID Type:
SSN, Fed ID, Cedula, NIT#: Issued By:
Date of Birth: Issue Expiration
Date: Date:
Address:

Name: ID #:
Signature: ID Type:
SSN, Fed ID, Cedula, NIT#: Issued By:
Date of Birth: Issue Expiration
Date: Date:
Address:

Name: ID #:
Signature: ID Type:
SSN, Fed ID, Cedula, NIT#: Issued By:
Date of Birth: Issue Expiration
Date: Date:
Address:

Name: ID #:
Signature: ID Type:
SSN, Fed ID, Cedula, NIT#: Issued By:
Date of Birth: Issue Expiration
Date: Date:
Address:

In addition to the Trustee(s), you and Clearing Firm may accept orders and other instructions relative to the Trust Account(s) from the
individuals or entities listed below. Those individuals or entities may execute any documents on behalf of the Trusts and, unless otherwise
specified, any one of the listed individuals or entities may act individually on behalf of the Trust.
 
Powers of the Trustee(s)
The Trustee(s) certify and represent that the Trust Agreement authorizes each Trustee to act independently and without providing you and
Clearing Firm with consent of the other Trustee(s) for all purposes related to maintaining this Trust Account or that the Trustee(s) so acting has
obtained the requisite consent of the other Trustee(s) in accordance with the terms of the Trust Agreement. The Trustee(s) represent that you and
Clearing Firm is authorized to follow, without limitation, the instructions of any Trustee(s) including, but not limited to, the signing of all account
agreements and documents on behalf of the Trust, directions to deliver or transfer funds, securities or other assets, the endorsement of checks
and to enter into transactions for the purchase or sale of securities insurance and annuity contracts and other investments.
 
69255P-UTCF 11/20/2013
 The Trustee(s) further represent that the Trust Agreement authorizes (check all that apply):
 

to maintain a Margin and Short Account and through such account to borrow funds to purchase securities on margin,
sell securities which the Trust does not own (i.e., short sales) and to borrow securities in connection therewith.
to trade in options contracts, including, without limitations, the purchase of puts and call and the writing (sale) of covered
and uncovered puts and calls.
 
The Trustee(s) certify and represent that the information provided in the Trust Account Application and other account paper-work has been
reviewed by the Trustee(s) and is true and correct as of the date of this certification and that the Trustee(s) agree to notify you and Clearing Firm
promptly of any amendments to the Trust, and change to the composition of the Trustees or any other even which could alter this
certification.
 
This certification supersedes any prior certification and you and Clearing Firm may rely on it until receipt of a new certification. The Trustee(s)
agree that you and Clearing Firm is not responsible for reviewing or determining the propriety of instructions received by any Trustee and may rely
on those instructions, without confirming them with any other Trustee. Notice sent to one Trustee, including notice sent electronically, shall
constitute notice to all Trustees.
 
The Trustees hereby jointly and severally agree to indemnify you and Clearing Firm and each of its affiliates, offices, directors, employees, and
agents from and hold such persons harmless against, any claims, judgments, expenses, liabilities or costs of defense or settlement (including
attorney’s fees) arising out of relating to breach of any representation or warranty made herein or to any actual or alleged improper or unsuitable
actions taken upon such Trustees instructions in connection with the brokerage account established at you and Clearing Firm for the Trust. This
indemnification shall not be limited in any way by the Trustees provision you and Clearing Firm of independent documentation concerning the
representations made herein.
 
The representations and obligations stated herein shall survive termination of the Trust Agreement and any Account Agreement relating to the
Trust’s brokerage account.
 
Account Number Date

Trustee Signature Print Trustee’s Name

► ►
Trustee Signature Print Trustee’s Name
► ►
Trustee Signature Print Trustee’s Name
► ►
Trustee Signature Print Trustee’s Name
► ►

69255P-UTCF 11/20/2013
Form
(Rev. November 2017)
W-9 Request for Taxpayer
Identification Number and Certification
Give Form to the
requester. Do not
Department of the Treasury send to the IRS.
Internal Revenue Service a Go to www.irs.gov/FormW9 for instructions and the latest information.
1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank.

2 Business name/disregarded entity name, if different from above

See Specific Instructions on page 3.

3 Check appropriate box for federal tax classification of the person whose name is entered on line 1. Check only one of the 4 Exemptions (codes apply only to
following seven boxes. certain entities, not individuals; see
instructions on page 3):
Individual/sole proprietor or C Corporation S Corporation Partnership Trust/estate
single-member LLC Exempt payee code (if any)
Print or type.

Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=Partnership) a
Note: Check the appropriate box in the line above for the tax classification of the single-member owner. Do not check Exemption from FATCA reporting
LLC if the LLC is classified as a single-member LLC that is disregarded from the owner unless the owner of the LLC is
code (if any)
another LLC that is not disregarded from the owner for U.S. federal tax purposes. Otherwise, a single-member LLC that
is disregarded from the owner should check the appropriate box for the tax classification of its owner.
Other (see instructions) a (Applies to accounts maintained outside the U.S.)

5 Address (number, street, and apt. or suite no.) See instructions. Requester’s name and address (optional)

6 City, state, and ZIP code

7 List account number(s) here (optional)

Part I Taxpayer Identification Number (TIN)

Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid Social security number
backup withholding. For individuals, this is generally your social security number (SSN). However, for a
resident alien, sole proprietor, or disregarded entity, see the instructions for Part I, later. For other – –
entities, it is your employer identification number (EIN). If you do not have a number, see How to get a
TIN, later. or
Note: If the account is in more than one name, see the instructions for line 1. Also see What Name and Employer identification number
Number To Give the Requester for guidelines on whose number to enter.
–

Part II Certification
Under penalties of perjury, I certify that:
1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and
2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue
Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am
no longer subject to backup withholding; and
3. I am a U.S. citizen or other U.S. person (defined below); and
4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct.
Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because
you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid,
acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments
other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions for Part II, later.

Sign Signature of
Here U.S. person a Date a

General Instructions • Form 1099-DIV (dividends, including those from stocks or mutual
funds)
Section references are to the Internal Revenue Code unless otherwise
• Form 1099-MISC (various types of income, prizes, awards, or gross
noted.
proceeds)
Future developments. For the latest information about developments • Form 1099-B (stock or mutual fund sales and certain other
related to Form W-9 and its instructions, such as legislation enacted transactions by brokers)
after they were published, go to www.irs.gov/FormW9.
• Form 1099-S (proceeds from real estate transactions)
Purpose of Form • Form 1099-K (merchant card and third party network transactions)
An individual or entity (Form W-9 requester) who is required to file an • Form 1098 (home mortgage interest), 1098-E (student loan interest),
information return with the IRS must obtain your correct taxpayer 1098-T (tuition)
identification number (TIN) which may be your social security number • Form 1099-C (canceled debt)
(SSN), individual taxpayer identification number (ITIN), adoption • Form 1099-A (acquisition or abandonment of secured property)
taxpayer identification number (ATIN), or employer identification number
Use Form W-9 only if you are a U.S. person (including a resident
(EIN), to report on an information return the amount paid to you, or other
alien), to provide your correct TIN.
amount reportable on an information return. Examples of information
returns include, but are not limited to, the following. If you do not return Form W-9 to the requester with a TIN, you might
• Form 1099-INT (interest earned or paid) be subject to backup withholding. See What is backup withholding,
later.

Cat. No. 10231X Form W-9 (Rev. 11-2017)