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Dawson James Securities

Account Sign-up Process

Step 1 of 9 – Registration & Account

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  • Registration & Account

  • If you do not know your representative’s name, or do not have a representative yet, you can leave this blank.

  • Please contact us at 1 (866) 928-0928 if you need more than 2 secondary account holders.

  • We’ll be sure to thank them.

  • Account Information

  • Social security # (US residents only)

  • Primary Account Holder Information

  • MM slash DD slash YYYY

  • Primary's Contact Information

  • Primary's Citizenship Information

  • You may check “US” if you are a US Resident Alien.
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  • Hidden
  • MM slash DD slash YYYY
  • MM slash DD slash YYYY

  • Primary's Profile

  • Separate ages with commas.

  • Primary's Employment

  • Secondary's Legal Name and Information

  • First and last name
  • MM slash DD slash YYYY

  • Secondary's Contact Information

  • Secondary's Citizenship Information

  • You may check “US” if you are a US Resident Alien.
  • Hidden
  • Hidden
  • MM slash DD slash YYYY
  • MM slash DD slash YYYY

  • Secondary's Profile

  • Secondary's Employment

  • Additional Secondary Account Holder Information

  • Additional Secondary's Legal Name and Information

  • First and last name
  • MM slash DD slash YYYY

  • Additional Secondary's Contact Information

  • Additional Secondary's Citizenship Information

    You may check “US” if you are a US Resident Alien.
  • Hidden
  • Hidden
  • MM slash DD slash YYYY
  • MM slash DD slash YYYY

  • Additional Secondary's Profile

  • Additional Secondary's Employment

  • Trusted Contact Person

  • To help ensure that we are able to look out for your needs, we are asking that you provide your Dawson James’ Representative with the name of and contact information for a trusted contact person (age 18 or older) for each of your accounts at Dawson James. The trusted contact person is intended to be a resource for Dawson James in administering your accounts, protecting your assets, and responding to possible financial exploitation. The Form does not authorize the trusted contact or other people to conduct transactions in your account. The completion of this form is optional and you may withdraw it at any time by notifying Dawson James in writing.

    By choosing to provide information about a trusted contact person, you authorize us to contact the trusted contact person listed below and disclose information about your account to that person in order to:

    • address concerns that you might be a victim of financial exploitation which could include fraud, coercion, or unauthorized transactions;
    • address a temporary hold on a disbursement of funds or securities pertaining to possible exploitation or other concerns;
    • to confirm the specifics of your 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 (Financial Exploitation of Specified Adults).

    You may not list yourself or anyone named on this account below:

  • Account Holder Industry & Other Affiliations

    For each account holder, are you, your spouse, or any other immediate family members, including parents, in-laws, siblings, dependents:

  • Employed by or associated with the securities industry (for example, a sole proprietor, partner, officer, director, branch manager, registered representative or associated person of a broker-dealer firm) or a financial services regulator?

  • Separate entities with commas.

  • An officer, director or 10% (or more) shareholder of a publicly-owned company?

  • Separate company and symbol with comma.

  • A senior military, governmental or political official of a non-US country?

  • Client Profile

  • Income & Worth

  • Liquid Investments

  • These are assets which can easily be converted into cash. Real estate does not belong in this category.
    Investment Type/Description Amount ($US) Actions
       
    There are no Liquid Investments.

    Maximum number of liquid investments reached.

  • This field is calculated from the total of your liquid assets, which you can edit above.

  • Illiquid Investments

  • This is for non-liquid investment assets which cannot easily be converted into cash. Real estate belongs in this column. Do NOT include your primary residence.
    Investment Type/Description Amount ($US) Actions
       
    There are no Investments.

    Maximum number of investments reached.

  • Total Net Worth

  • This field is calculated from the total of your liquid assets and non-liquid investments, which you can edit above.

  • Investment Profile

  • See investor profile descriptions for more information.
  • When do you expect to begin withdrawing significant funds from this account?

  • Please complete the following:

  • The ability to quickly and easily convert to cash all or a portion of the investments in this account without experiencing significant loss in value from, for example, the lack of a ready market, or incurring significant costs or penalties is:

  • Service Instructions

  • Choosing this option will deliver any available securities to you and will result in additional charges.

  • Choosing this option will send all available funds to you.

  • IPO Certification (FINRA Rules 5130 and 5131)

  • To learn more about the bolded definitions below, please see this document:
    IPO CERTIFICATION (FINRA Rules 5130 and 5131) Opens in a new tab

  • FINRA Rule 5130 is designed to protect the integrity of the public offering process by ensuring a bona fide or good faith distribution to the public of Equity IPOs. Dawson James Securities may not sell or cause to be sold an equity IPO to any account in which a restricted person holds a beneficial interest unless the account qualifies for a general exemption under the Rule. (Definitions of all bolded terms are provided at the end of this document.)

  • If neither of the statements apply to you, you are not eligible to purchase equity IPOs and you need not return this document.

  • Account Information

  • Step 1 – Registration & Account

    Step 2 – Account Information

  • Primary Account Holder

  • Step 3 – Primary Account Holder Information

  • Secondary Account Holders

  • Step 4 – Secondary Account Holder Information

    Step 5 – Additional Secondary Account Holder Information

  • Not applicable (Individual account type).

  • Other Information

  • Step 6 – Trusted Contact Person

    Step 7 – Account Holder Industry & Other Affiliations

    Step 8 – Client Profile

  • This field is for validation purposes and should be left unchanged.

  • Dawson James Securities
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  • Terms & Conditions

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