ANTI-MONEY LAUNDERING

Seaview Securities LLC is committed to prevent money laundering and any activity that facilitates money laundering or the funding of terrorist or criminal activities, as required by the USA Patriot Act of 2001 (the “PATRIOT Act”), as well as the rules and regulations adopted by the Department of the Treasury (“Treasury”) and the Financial Industry Regulatory Authority (“FINRA”) thereunder.

The PATRIOT Act and the Treasury and NASD rules and regulations require financial institutions to verify the identity of each person who opens an account and to provide notice to such customer that his identity will be verified and his name compared to government-provided lists of suspected terrorists. The definition of customer under these rules extends to purchasers of securities in transactions where an investment bank acts as underwriter, placement agent or financial advisor. Accordingly, although Seaview does not maintain customer accounts, the firm has committed to collect customer identification information for any purchaser or seller of any security for which the firm acts as placement agent, underwriter or financial advisor.

As required by the above-referenced law, Seaview hereby makes the following required disclosures:

Important Information About Procedures for Opening a New Account :
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you:
When you open account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

Clients are invited to contact Joseph Dougherty, Managing Director at 212-331-7871 with any questions or comments.

Seaview Securities is registered to conduct securities business in limited states. Response to, or contact with residents of other states will only be made upon compliance with applicable registration requirements. The information in this website is for U.S. residents only and does not constitute an offer to sell, or a solicitation of an offer to purchase brokerage services to persons outside of the United States. Copyright 2006 Seaview Securities All rights reserved.