I hereby
(i) certify that the information provided in this application (the “Information”) is complete and correct
(ii) grant Finalis Securities LLC (together with affiliates, agents and assigns, “Finalis”) permission to conduct inquiries to verify the Information, including, but not limited to, my work experience, education and current and prior residential history,
(iii) authorize Finalis to conduct a background check on me which may include, without limitation, my criminal, civil litigation and credit history to include such history which may be in the files of any federal, state or local governmental agency, court system, credit reporting bureau or any other records repository,
(iv) authorize Finalis to conduct a search of my records in the Central Registration Depository (“CRD”) of the Financial Industry Regulatory Authority, Inc. (“FINRA”) and use my FINRA CRD number in the Information in accordance therewith and
(v) authorize the Social Security Administration (“SSA”) to verify and disclose to Finalis whether the name, Social Security Number and date of birth in the Information matches SSA records. Without incurring any liability or obligation, Finalis may, in its sole and absolute discretion, accept or deny for any lawful reason any application to be a registered representative of Finalis, without assigning any reason thereof. If your application is accepted, but later deemed to be unsuitable in Finalis’ sole and absolute discretion, Finalis may, at any time, terminate your application.