THANK YOU FOR CONSIDERING SECURITIES & INVESTMENT PLANNING COMPANY/SIPOnline.com™ for meeting your investment needs. The first step in opening an account with us is to submit a Profile Form. Securities & Investment Planning Company will review your information and mail you a New Account Application and Agreement and the forms required by our clearing agent, along with any additional required documentation and forms.

You will need to fill out specific forms depending on the type of account you select.

For each account opened a separate set of new account forms must be submitted. We will contact you directly by e-mail should there be any questions.

Once you have received the application materials, please review and complete all forms in their entirety, and be sure to sign and date where indicated. Then mail them back to Securities & Investment Planning Company along with a check to fund your account. The check should be made payable to Jefferies & Company, Inc the clearing agent that holds your account. You may also open an account by wire transfer or ACAT transfer. (For further information on funding an account at Securities & Investment Planning Company, please see Frequently Asked Questions.)

Please note that if you are opening an individual account, under the new Anti- Money Laundering USA Patriot Act of 2001 and FINRA Rule 3011 you are required to supply proof of identification when you submit the application forms. (You do not need to submit this information with the Profile Form.) Verification of identification must have the following information: a government issued identification number as well as your name, address, and date of birth. Possible sources of this information include driver's license, passport, government identification, or alien registration card. If you are opening a joint account the same requirement applies for each applicant. The act and rule also requires businesses accounts to provide a certificate of incorporation, a business license, any partnership agreements, any corporate resolutions or other similar documents in addition to other required new account forms. You should provide the government issued identification and these documents at the same time that you return the new account forms, which will be sent to you upon our receipt of your Profile Form.

Please be aware that any person authorized to act on behalf of the business entity must also provide the same proof of identification as an individual applicant (see above). Please provide a clean, legible copy of both the front and back of the document you are supplying. If you are opening a Trust Account, a Pension Plan Account, Profit Sharing Plan Account, Partnership Account or a Corporate Account, you must provide the supporting documentation (i.e. Articles of Incorporation, a copy of the complete Trust Agreement, Pension Plan or the company's Corporate Resolution, Partnership Agreement etc.) upon opening the account.

When your completed forms and your funds are received, Securities & Investment Planning Company will process your application. At this time, an account number, a user login, and an initial password will be issued. We will send you this information.

Please be aware that your account will not be approved until your funds have cleared and all the required forms are completed in their entirety, signed and dated where indicated, and submitted to Securities & Investment Planning Company. If you fund your account with a check, the check clearing process may take up to five business days from the time your check is received. Wire transfers typically occur the same day, while ACAT transfers may take from 10 to 15 days to clear. Please note that initial transactions must be covered with funds in the account prior to making an investment.

To access your account online, please review the instructions thoroughly in Information + Instructions under "My Account."

Questions about this process? Please do not hesitate to contact us at newaccounts@siponline.com.