Given the following information, please fill out the form below.

Tim Smith

10-1-1970 = DOB

123-45-6789 = SSN

Drivers License = 123456789

Drivers License Exp = 10/1/2025

234 Finance St, Elmsford NY 10523

Unemployed in transition currently , income from severance package of $60K

Expenses = 40K

Assets = 1M in mutual funds, 200K stocks, 100K cash

Estate is beneficiary

Tim is opening a brokerage account in his name only, he wants to contribute 10K from his cash/savings account for market growth. He is looking to buy VOO with these funds and be a bit more aggressive.

7. Entities That Are Account Holders Provide information on any entity that is an account holder. Be sure to also provide personal information on at least one individual associated with this account. 8. Account Stakeholder A control person is an individual with significant responsibility for managing the legal entity (e.g., a Chief Executive Officer, Chief Financial Officer Chief Operating Officer, Managing Member, General Partner, President, Vice President, or Treasurer). An entity owner is each individual, if any, who, directly or indirectly, through any contract, arrangement, understanding, relationship or otherwise, owns 25 percent or more of the equity interests of the legal entity opening the account. If there are no entity owners that are disclosed in this application, you are certifying that there are no individuals that own, directly or indirectly, 25% or more of the equity interests of the legal entity customer. You will notify your Broker/Dealer if or when beneficial ownership of the legal entity customer changes. 8. Account Stakeholder continued