Customer Identification Program Notice
Important Information You Need to Know About Opening A New Account
To help the government fight the funding of terrorism and money laundering activities, federal law requires Buttonwood Partners, Inc. to obtain, verify, and record information that verifies the identity of any person(s) authorized to effect transactions in an account.
This Notice answers some questions about Buttonwood Partners, Inc. Customer Identification Program.
What types of information will I need to provide?
When you open an account, we are required to collect information such as the following from you:
Date of birth
U.S. Citizen: taxpayer identification number (social security number or employer identification number)
Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you.
You may also need to show us your driver's license or other identifying documents.
A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission and FINRA rules already require you to provide most of this information. These rules may also require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.
What happens if I don't provide the information requested or my identity can't be verified?
Buttonwood Partners, Inc. may not be able to open an account or carry out transactions for you. If Buttonwood Partners, Inc. has already opened an account for you, they may have to close it.
All of us at Buttonwood Partners, Inc. would like to thank you for your understanding and hope that you will support the financial industry's efforts to deny terrorists and money launderers access to America's financial system.
Payment, Order Flow, and Contact Information
When making a deposit to your brokerage account held at National Financial, please make your deposit payable to National Financial Services, LLC. (NFS, LLC) and mail it to our office at 701 Deming Way Suite 100, Madison, WI 53717. Please note that we are not allowed to accept cash, money orders.
If you maintain an account directly with a fund company, please make your deposit payable to that specific fund company and mail it to our office at 701 Deming Way Suite 100, Madison, WI 53717.
Please note that we are not allowed to accept cash, money orders. Checks made payable to Buttonwood Partners, Inc are not acceptable and will be returned to you which may result in a delay of your investment.
Our clearing firm, NFS, LLC has produced a document that details the trading activity for Buttonwood Partners, Inc. for each quarter. This document is to maintain compliance with SEC Rule 11Ac1-6, which requires broker dealers to disclose any material arrangements with an outside venue or arrangements for payment of order flow and order routing on a quarterly basis.
Audit of Technological Controls at Fidelity
Our clearing firm, NFS, LLC has performed an audit of their technological controls. Below are their findings.
General Contact Information
If you have any questions or concerns about your account, our services, or a member of our staff, please contact Tami Strang
By writing: 701 Deming Way Suite 100, Madison, Wisconsin, 53717
By telephone: (608) 827-0103 or by e-mail.
Regulatory Contact Information
Buttonwood Partners, Inc. is regulated by the Financial Industry Regulatory Authority (FINRA) and the State of Wisconsin Division of Securities (DFI).
FINRA's mission is not only to regulate its' members, they have developed The FINRA Investor Site to also educate the investors they serve.
The Financial Industry Regulatory Authority (FINRA) has created FINRA Broker Check, an investor friendly web site that provides information to investors regarding the background, business practices, conduct and registrations of its members. If you have additional questions, call the Broker Check toll-free hotline at (800) 289-9999.
The State of WI Division of Securities is also a valuable resource for investors with questions or concerns about their investments or their investment professionals. They can be reached by mail: The State of Wisconsin Division of Securities, Suite 300 PO Box 1768 Madison, WI 53701-1768 or by telephone: (608) 266-1064.