FOREIGN INVESTOR AGREEMENT Virtually all of the business Rockwell Securities LLC conducts outside of the United States is with corporate counterparts. At the customer’s request, we will open an account in the name of an individual. Your account happens to be one of those situations. As such, we would like to make certain that you are aware of the items listed below. • Rockwell Securities LLC did not solicit your business as an individual. • Rockwell Securities LLC made contact with you as part of the firm’s efforts to establish a corporate relationship with your firm. • You declined establishing a corporate relationship with Rockwell Securities LLC, but expressed personal interest in the US market and invited Rockwell Securities LLC to present you with investment opportunities. • Rockwell Securities LLC made inquiry as to your financial means, level of investment experience, and investment objectives, prior to opening the account. • After your initial contact with Rockwell Securities LLC, you received information about the firm and an invitation to terminate the relationship prior to receiving an introductory phone call from a broker. • You decided to conduct business with Rockwell Securities LLC, and your decision to maintain the account constitutes a de facto invitation to the firm to continue presenting you with investment opportunities. • You are aware that you have the option to terminate the relationship with Rockwell Securities LLC at any time assuming of course that there are no payments due at the time). • You are aware that any dispute or claim which may arise from your business dealings with Rockwell Securities LLC will be adjudicated in the United States, under the regulatory oversight of the Financial Regulatory Authority (FINRA) rather than your local regulatory body. Their website can be found at: www.finra.org I _____________________________ have read the above statements and confirm them to be true. Sign Here ________________ Date Here _______________ Please feel free to contact us at any time @ 001-212-601-9980.
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