Services for Investors
Members of the StoneGate investor network will be presented with multiple investment opportunities per year. Such private placement transactions are usually only available to venture capitalists and other institutional players. Investment targets include specialty funds not available through larger investment management firms, and expansionary-stage private companies that meet our selection criteria which include a proven product, market, and management team. Our investors have the ability to review each opportunity with a StoneGate registered representative as well as to select investments based on their own individual investment goals.
Contact us today to find out about investing private capital and to join StoneGate's premier investor network.
Anti-Money Laundering (Customer Identification Program Notice) The following is important information you need to know about opening a new account. To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What types of information will I need to provide?
When you open an account, StoneGate is required to collect information such as the following from you:
- Your name
- Date of birth
- Address
- Identification number
- US Citizen: taxpayer identification number (social security number or employer identification number)
- Non-US Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you.
- You may also need to show your driver's license or other identifying documents.
A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.
US Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.
What happens if I don't provide the information requested or my identity can't be verified?
StoneGate may not be able to open an account or carry out transactions for you. If we have already opened an account for you, we may have to close it.
We thank you for your patience and hope that you will support the financial industry's efforts to deny terrorists and money launderers access to the financial services industry.
Note: You should make any investment decisions independently, based upon consideration of your investment objectives, risk tolerance, financial condition, and liquidity needs. You should consult your legal, financial and other professional advisors, and carefully consider the risks of investing in private placements before making any investment decisions. Read the Risk Factors section for a description of some of the general risks associated with private placements. These general risks include, but are not limited to, illiquidity due to the absence of a current market for privately placed securities and restrictions on resale imposed by state and federal securities laws. You also should carefully read the private placement memorandum before making any investments decisions, including the section entitled "Risk Factors" that describes the risks specific to each transaction.
