obsidian-yanxin/documents/finance/scottrade_account_application_2016.md

type, category, person, date, source

type	category	person	date	source
financial document	brokerage account application	Xuewei Jiang	2016-11-12	scottrade_account_application_2016.jpg

Scottrade Brokerage Account Application

Branch: 4301 W William Cannon Dr, Ste B114, Austin, TX 78749-1478 Phone: (512) 370-1980, 1-877-801-1980 Account Type: Joint - Tenants in Entirety. Applicants are not Refer/Promo

Form: SF10008-15 | Page 1 of 2

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Primary Applicant / Organization Information

Depending on account type this may be the minor, protected person or organization (trust, corporation, partnership, etc.)

Field	Value
Name of Individual/Organization	Xuewei Jiang
Suffix	—
Phone Number - check preferred: Home	254-214-8150
Email Address	xueweigp3116@gmail.com
Date of Birth / Effective Date	03/18/—
Social Security / Tax ID #	092-99-3215

Primary Physical Address

No P.O. Boxes or mail receiving / corporation addresses

Field	Value
Street	1652 W 6TH ST APT R
City	Austin
State	TX
ZIP	78703-5043
Work	—
Fax	ext

Mailing Address: include city, state & ZIP - if a mailing address is not provided, account notices will be sent to the primary physical address.

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Individual, Joint, Retirement & Minor Account Applicants

Citizenship

#	Question	Answer
1	Are you a U.S. citizen?	Yes - proceed to question 2
2	Are you a citizen of any other non-U.S. countries?	Yes - list below
	Country	China
	Are you a permanent U.S. resident?	Yes - Permanent Resident Card Number
		No - Visa type
	Visa Expiration Date (MM/DD/YYYY)	06/24/2020

Employment Status

Field	Value
Employment Status	Self-employed business owner
Employer Industry Code	E11
Occupation Code	R71
Job Title	—
Job Description	*See p.3 for a code list or contact us for assistance
Employer	—
Employer Address	—

Financial Information

Please provide the following information to help us understand your financial status. Scottrade will not use this information to supervise the suitability of any transaction in your account.

#	Question	Answer
1	What is your annual income?	Options: $0 - $24,999 / $25,000 - $49,999 / $50,000 - $99,999 / $100,000 - $249,999 / $250,000+ — in your account
2	What is your household net worth (excluding residence)?	Options: $0 - $24,999 / $25,000 - $49,999 / $50,000 - $249,999 / $250,000 - $499,999 / $500,000+

Affiliations

This information is to comply with requirements mandated by the U.S. Government and other regulatory agencies, and to better understand your intentions for your brokerage account.

#	Question	Answer
3a	Are you employed by / affiliated with a securities firm, exchange or FINRA?	Yes - Scottrade will inform the securities firm, exchange or FINRA of your intention to maintain this account and provide copies of confirms, statements & other requested information. Provide organization name & compliance address in the field below. / No -
3b	Are you or a member of your household a control person/affiliate of a public company as defined by the SEC?	Yes - provide company name & CUSIP number in the "Required Information" space below. This generally includes 10% shareholders, members of the Board of Directors and policy-making officers.
3c	Are you currently, or have you ever been, a higher-level elected / appointed government official?	Yes - select from the following: U.S. Federal Govt Official / U.S. City Mayor / U.S. State Governor / Senior Executive Director of a Govt/Non-U.S. Govt / Non-U.S. Govt Official - provide country & title here
4	Do you have an immediate family member or close associate who is or was a high-level elected / appointed government official?	Yes - provide name, country, relationship / No — ship & position in space below
5	Do you receive compensation, directly or indirectly, from a business related to or engaged in the growth, sale or distribution of marijuana or products containing marijuana?	—

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Expected Account Activities

#	Question	Answer
1	Do you plan to trade low-priced, over-the-counter securities ('penny stocks')?	Yes ☐ / No ☐
2	Do you plan to deposit or transfer in low-priced, over-the-counter securities?	Yes ☐ / No ☐
3	What best describes the major funding source for this account?	Employment Wages / Inheritance Trust / Investments / Other: Spouse/Parent Support / Unemployment / Disability
4	What best describes the source of funds for this account?	Employment Wages / Savings / Spouse/Parent Support / Settlement / Lottery / Gaming
		Retirement Funds / Insurance / Investment Trust / Unemployment / Disability
5	Do you anticipate initiating/receiving international ACH or wire transfers?	Yes - list non-U.S. countries to be involved in these transfers (below) to Page 2 / No - proceed

International Transfer Details

Field	Value
What is the expected frequency of these international transfers?	Once or twice per year / Once every few months / Once a month / Several times per month
What is the expected annual international transfer total?	$0 - $9,999 / $10,000 - $49,999 / $50,000 - $99,999 / $100,000 - $249,999 / $250,000 - $499,999 / $500,000+
Indicate purpose(s) for these international transfers	Charitable Payment / Personal Remittance
	Commission / Payroll / Investment / Real Estate Opportunity / Personal Purchase of International Goods
	Business Expense / Income / Other - describe

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Internal Use Only

Field	Value
Acct #	13443343
Last Online Entry Date	11/12/2016 12:24 AM ET
Paper Use Print Date	11/12/2016 12:32 AM ET