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Merrill Edge® Self‑Directed Business Investor Account (BIA Account)

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Merrill Edge® Self‑Directed Business Investor Account (BIA Account) Merrill Edge® Self‑Directed Business Investor Account (BIA Account) Account Application Booklet and Agreements Return your completed application form along with the additional documents. You may return via standard or express delivery or via fax. By Standard Mail: By Express Delivery: By Fax: Merrill Merrill New Account Support New Account Support New Account Support 866.214.1649 MSC NJ2‑140‑02‑15 MSC NJ2‑140‑02‑15 P.O. Box 1501 1400 American Boulevard Pennington, NJ 08534 Pennington, NJ 08534 Merrill Lynch, Pierce, Fenner & Smith Incorporated (also referred to as “MLPF&S” or “Merrill”) makes available certain investment products sponsored, managed, distributed or provided by companies that are affiliates of Bank of America Corporation (“BofA Corp.”). MLPF&S is a registered broker-dealer, registered investment adviser, Member SIPC and a wholly owned subsidiary of BofA Corp. Merrill Edge® Self-Directed is available through MLPF&S. Investment products: Are Not FDIC Insured Are Not Bank Guaranteed May Lose Value Merrill Edge® Self‑Directed Business Investor Account (BIA Account) An investment account for businesses that lets you trade and research mutual funds, stocks, fixed income and other securities. Use this application to establish a Corporation, LLC, Partnership or Sole Proprietorship account. Only U.S. residents and businesses can apply for a Merrill Edge Self‑Directed investing account. Instructions Table of Contents Please provide/complete the following: Account Application: • Tell us about the Company . 3–5 I. Tell us about the Company . 3–5 • Business Principals, Authorized Representatives Business Information . 3 and Beneficial Owners. 6 Business Address. 3 Contact Information . 3 • Tax Certification Form. 7 Other Information . 3 • Account Features/Services. 8 Financial Information . 3 Line of Business. 4 • Business Entity Authorization Form Instructions . 8 Family Business Entity . 4 • Business Entity Authorization Forms. 9–16 Investment Experience. 4 • Additional Guidance . 17 Affiliation Information . 5 Regulatory Information . 5 Additional Required Documents Parent Company . 5 Authorized Representative Designation Form II. Business Principals, Authorized Representatives A separate form for each authorized representative should be completed. and Beneficial Owners. 6 Designation Form . 6 Corporations — For corporations established for more than one year, please provide a Certificate of Good Standing. For corporations III. Tax Certification Form. 7 established for less than one year that do not have a Certificate of IV. Account Features/Services . 8 Good Standing, please provide a Certificate of Incorporation (also Sweep Program Choice . 8 known as Articles of Incorporation or Corporate Charter). V. Business Entity Authorization Form Instructions . 8 Limited Partnerships — For limited partnerships established for more than one year, please provide a Certificate of Good Standing. VI. Corporate Entity Authorization Form . 9–10 For limited partnerships established for less than one year that VII. Limited Partnership Entity Authorization Form . 11–12 do not have a Certificate of Good Standing, please provide a Certificate of Limited Partnership. VIII. Limited Liability Company Entity Authorization Form . 13–14 Sole Proprietorships — For sole proprietorships operating under an Assumed Name, please provide a Fictitious or Assumed Name IX. Sole Proprietorship Entity Authorization Form . 15–16 Certificate showing proof of filing (if applicable). X. Additional Guidance . 17 Limited Liability Companies (LLCs) — For LLCs established for more than one year, please provide a Certificate of Good Standing. Agreements & Disclosure For LLCs established for less than one year that do not have • Merrill Edge Self‑Directed Investing Terms of Service a Certificate of Good Standing, please provide the Certificate • BIA Account Agreement and Program Description Booklet of Formation. Depending on services requested, or if a non‑U.S. client, additional documents may be required. Page 2 | Merrill Edge Self-Directed BIA Account Application 423209PM-0820 I. Tell us about the Company Business Information If the company operates under Business Name another name (DBA: doing business as), please include this within the Social Security or Employer Identification Number (select one) Entity Type (select one) business name section. EIN SSN Corporation The account is governed by the BIA Limited Partnership Account Agreement and Program State of Incorporation/Organization Fiscal Year End (MM/DD) Limited Liability Company (LLC) Description Booklet. Sole Proprietorship Country of Incorporation/Organization Country of Tax Residency Year of Incorporation/Organization Business Address P.O. Boxes cannot be provided Business Legal Address (Cannot be a P.O. Box) for the legal address, but are acceptable for the mailing City State ZIP Code address. Complete the Business Mailing Address (if different from Legal Address) Mailing Address and Business Headquarters Address only City State ZIP Code if they are different from the Business Legal Address. Business Headquarters Address (if different from Legal Address) City State ZIP Code Contact Information All information in this section is Business Primary Contact Name Business Primary Contact Telephone required. Main Business E-mail Address Main Business Website Other Information Margin Lending Program: Trade Type (Select one) Cash Securities Account Margin Securities Account the Customer may obtain loans Corporate Issuers: Under federal securities rules, Merrill may be required to disclose your name, address and relevant investment through its BIA/WCMA account holdings to corporate issuers whose investments you own. If you elect to opt out of this disclosure requirement, you will not receive based on the value of eligible any corporate communications from the issuer, however you will still receive regulatory mailings required to be sent to all holders. securities for the purpose of If you wish to exercise this preference, select the box below. buying, trading or carrying I elect to opt out and not disclose my name, address and securities positions to corporate issuers. securities or for a non security purpose. For more information, Dividend Distribution: Dividend payments will accumulate in the account by default. You can enroll in Funds Transfer Service to have please review your BIA and dividends electronically deposited into a bank or brokerage account of your choosing. WCMA Account Agreement and Program Description Booklet. Financial Information All information in this section is Gross Revenue: <$1MM $1–$5MM $5–$25MM >$25MM required. Sales Volume: <$1MM $1–$5MM $5–$25MM >$25MM Select only one value for each Annual Income: <$1MM $1–$5MM $5–$25MM >$25MM question. Net Worth: <$1MM $1–$5MM $5–$25MM >$25MM Total Employees: 0–49 50–99 100–499 500 or greater Does the business entity derive revenue from government defense contracts? No Yes Does the business entity’s primary activity include trading or investing in crypto currencies? No Yes Is this entity involved in the cultivation, distribution, or sale of marijuana (medical, non-medical, or state legalized)? No Yes Page 3 | Merrill Edge Self-Directed BIA Account Application 423209PM-0820 I. Tell us about the Company (continued) Financial Information (continued) Source of Income: Primary Source of Income (select one) Where does the entity derive the Income from Operating Business Inheritance/Trust Unemployment Income majority of its revenue? Household/Family Income Retirement Income Investment Income Social Security Other Income (explain below)* Source of Wealth: Primary Source of Wealth (select one) How did the entity accumulate the Income from Employment Charitable Trust Donations, grants, endowments majority of its assets? This should Insurance Benefits Income from client’s own business or (e.g., foundations, family, private, public) reflect the origin of the assets. Lottery or Casino Winnings sale of business Household wealth (e.g., spouse, minors, financial dependents) Securities Investing Compensation payment/ Legal settlement Professional venture capital/ Sale of Real Property Inheritance of family, gift, trust Private equity investors proceeds Other Income (explain below)* Line of Business Select the appropriate Industry (select one) industry for the business. Agriculture Manufacturing Insurance Forestry/Fishery Wholesale Trans/Communication/Utility Mining Finance Service Construction Retail Technology Other Income (explain below)* Principal Line of Business is Principal Line of Business (required) required: Provide a brief description of the type of activities the business entity is involved in and how the business entity generates revenue. Family Business Entity To designate the customer as a Designation of Family Business Entity (Optional) Family Business Entity, please Family Business Entities are non-operating vehicles or structures, such as partnerships and limited liability companies that may have check the box. been created in part for family wealth, estate planning and personal investment purposes. Merrill permits clients who are members of a “household” to “link” certain household accounts so that the combined value of assets in those accounts is considered for certain fee and interest rate determination purposes, where applicable. A household may consist of an individual, his or her spouse, lineal ancestors or descendants, siblings, spouses of siblings, and any family business entity in which such individual has an interest. An account may belong
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