Pur chase Instructions - Nuview Trust

1) Your self-directed IRA with NuView has been established

2) Your IRA has cleared funds available to make the investment

3) All investments have been titled in the name of your IRA:NuView Trust Co Custodian FBO [Client Name] IRA #

4) All instances of “Investor’s Address” lists:280 S. Ronald Reagan Blvd., Suite 200, Longwood, FL 32750

Brokerage AccountPurchase Instructions

Simply follow the checklist below, and NuView will purchase this investment via your self-directed IRA.

Simply follow the checklist below, read and complete all the documents in this packet, and return to NuView. Funding will be sent within three (3) business days upon receipt of ALL required documents, in good order.

Before submiting your transaction, please ensure:

MyNuView Online Portal: Accounts.NuViewIRA.com

Email:[email protected]

Fax:407-571-9541

Mail:NuView IRA Processing Office280 S. Ronald Reagan Blvd., Suite 200 Longwood, FL 32750

Submit Documents Via

Transaction Tips

Investments must be at arm’s

parties referenced in IRS 4975.

Some transactions may generate Unrelated Business Income Tax (UBIT), so consult with the investment sponsor, an investment advisor, and/or tax professional. NuView IRA does not know if and when UBIT applies within this investment, and it cannot be relied

information.

NuView documents to be completed and submitted:

Trading Account Purchase Authorization

Supporting documents to be completed and submitted:

Brokerage Account Application

Trading Account Agreement(Fill out Section 2 as it pertains to yourself and sign as Plan Participant)

ALL SUPPORTING DOCUMENTS MUST BE INITIALED ON EVERY PAGE AS READ AND APPROVED OR THEY CANNOT BE PROCESSED


NuView Trust www.nuviewtrust.com More Choices. More Control. page 1 of 2

ACCOUNT INFORMATION1Name (Your name as it appears in your plan)

Mr. Ms. Mrs. Dr.

Account Number

TRADING ACCOUNT INFORMATION (For Existing Trading Accounts)2Firm Name Account Number Amount to be Funded

TRADING ACCOUNT INFORMATION (For New Trading Accounts)3What Type of Trading Account would you like to open?

Traditional Brokerage Futures/CommoditiesAccount Details (Select One)*

Self-Managed Account Managed AccountAmount to be Funded

For SELF-MANAGED ACCOUNT - Please complete the info belowTrading Company

Address

City, State, Zip Phone

For MANAGED ACCOUNT - Please complete the info belowTrading Company

Address

City, State, Zip Phone

Authorized Trader

*NuView IRA, Inc will not execute trades on behalf of this third party trading account. Either yourself or your named Authorized Trader will be responsible to execute trades directly with the named trading company.Self-Managed Account: You will be the responsible party to execute trades on behalf of the IRA directly with the brokerage firm indicated. Managed Account: You are granting the named Authorized Trader the ability execute trades on your behalf for your IRA account.

FUNDING INSTRUCTIONS Please send the funds for purchase via:4 WIRE CHECK TO BE PROVIDED

FEES5

How would you like to pay for your fees? (Fees must be paid before transactions can be processed).Credit Card (complete card info below)Account (account must have sufficient funds for investment and fees)

Card Type: VISA MC AMEX DISCOVER

Credit Card Number: Exp. Date:

Billing Address:

Signature:

NuView IRA - Processing Office 280 S. Ronald Reagan Blvd., Suite 200

Longwood, FL 32750P: (877) 259-3256 | F: (407) 571-9541

E: [email protected]

For WIRE ($30) or ACH - Please complete the info belowBank Name

Account Holder Name Account Number

For Credit To

For CHECK - Please complete the info belowMake Check Payable To

Mail Check To

Address

City, State, Zip

Send Check via:Regular Mail Overnight Mail ($30) Certified Check ($25)

ABA Routing Number

Address

City, State, Zip


NuView Trust www.nuviewtrust.com More Choices. More Control. page 2 of 2

SIGNATURE AND ACKNOWLEDGEMENT6

I confirm that I am directing NuView IRA, Inc., Administrator, to complete this transaction as specified above. I understand that my account is self-directed, and I take complete responsibility for any investment I choose for my account, including the investment specified in this Purchase Authorization. I understand that neither the Administrator nor the Custodian (NuView Trust Company) sells or endorses any investment products, and that they are not affiliated in any way with any investment provider. I understand that the roles of the Administrator and the Custodian are limited, and their responsibilities do not include investment selection for my account. I acknowledge that neither the Administrator nor the Custodian has provided or assumed responsibility for any tax, legal or investment advice with respect to this investment, and I agree that they will not be liable for any loss which results from my decision to purchase the investment. I understand that neither the Administrator nor the Custodian has reviewed or will review the merits, legitimacy, appropriateness or suitability of this investment, and I certify that I have done my own due diligence investigation prior to instructing the Administrator to make this investment for my account. I understand that neither the Administrator nor the Custodian determines whether this investment is acceptable under the Employee Retirement Income Securities Act (ERISA), the Internal Revenue Code (IRC), or any applicable federal, state, or local laws, including securities laws. I understand that it is my responsibility to review any investments to ensure compliance with these requirements.

I understand that in processing this transaction the Administrator and the Custodian are only acting as my agent, and nothing will be construed as conferring fiduciary status on either the Administrator or the Custodian. I agree that the Administrator and the Custodian will not be liable for any investment losses sustained by me or my account as a result of this transaction. I agree to indemnify and hold harmless the Administrator and the Custodian from any and all claims, damages, liability, actions, costs, expenses (including reasonable attorneys' fees) and any loss to my account as a result of any action taken in connection with this investment transaction or resulting from serving as the Administrator or the Custodian for this investment, including, without limitation, claims, damages, liability, actions and losses asserted by me.

I understand that if this Purchase Authorization and any accompanying documentation are not received as required, or, if received, are unclear in the opinion of the Administrator, or if there is insufficient Undirected Cash in my account to fully comply with my instructions to purchase the investment and to pay all fees, the Administrator may not process this transaction until proper documentation and/or clarification is received, and the Administrator will have no liability for loss of income or appreciation.

I understand that my account is subject to the provisions of Internal Revenue Code (IRC) §4975, which defines certain prohibited transactions. I acknowledge that neither the Administrator nor the Custodian has made or will make any determination as to whether this investment is prohibited under §4975 or under any other federal, state or local law. I certify that making this investment will not constitute a prohibited transaction and that it complies with all applicable federal, state, and local laws, regulations and requirements.

I understand that my account is subject to the provisions of IRC §§511-514 relating to Unrelated Business Taxable Income (UBTI) of tax-exempt organizations. If this investment generates UBTI, I understand that I will be responsible for preparing or having prepared the required IRS Form 990-T tax return and any other documents that may be required. I understand that neither the Administrator nor the Custodian makes any determination of whether or not investments in my account generate UBTI.

I understand that the assets in my account are required by the IRS to be valued annually as of the end of each calendar year. I agree to provide the prior year end value of this investment by no later than January 10th of each year on a form provided by the Administrator, with substantiation attached to support the value provided.

I understand that with some types of accounts there are rules for Required Minimum Distributions (RMDs) from the account. If I am now subject to the RMD rules in my account, or if I will become subject to those rules during the term of this investment, I represent that I have verified either that the investment will provide income or distributions sufficient to cover each RMD, or that there are other assets in my account or in other accounts that are sufficiently liquid (including cash) from which I will be able to withdraw my RMDs. I understand that failure to take RMDs may result in a tax penalty of 50% of the amount I should have withdrawn.

I understand that all communication regarding this transaction must be in writing and must be signed by me or by my authorized agent on my behalf, and that no oral modification of my instructions will be valid.

I understand that no person at the office of the Administrator or the Custodian has the authority to modify any of the foregoing provisions. I certify that I have examined this Purchase Authorization and any accompanying documents or information, and to the best of my knowledge and belief, it is all true, correct and complete.

I hereby authorize NuView IRA as agent for NuView Trust Company, the custodian for my self-directed account to execute the purchase of assets from time to time through the brokerage account indicated in this form upon my instruction or the instruction of my named representative and further authorize NuView Trust Company to allow such broker to hold poessession of such assets until further instructed.

Print Name:

Signature: Date:

NuView IRA - Processing Office 280 S. Ronald Reagan Blvd., Suite 200

Longwood, FL 32750P: (877) 259-3256 | F: (407) 571-9541

E: [email protected]

SDPS 186 F 02/18Page 1 of 2

PO Box 2226 Omaha, NE 68103-2226

Fax: 800-914-8980

Please complete this application in full and return it to the address above or fax it to 800-914-8980. Incomplete applications may cause a delay in opening your account. If you have questions or need additional forms, please call us at 866-766-4015.

1. ACCOUNT INFORMATIONPlan ID Number: Plan Name:

Choose from the following check-boxes to indicate the type of account you would like to open:M Non-Roth Self-Directed Brokerage Account M Roth Self-Directed Brokerage Account M Both (Roth and Non-Roth) * Please check with your plan for eligibility before selecting a Roth account. If no box is checked, a non-Roth account will be opened.

2. ACCOUNT OWNER INFORMATIONFull Legal Name:

Date of Birth: (MM-DD-YYYY)

Number of Dependents: U.S. Social Security Number*:(SSN)

Marital Status: M Single M Married M Divorced M Widowed

Mother’s Maiden Name:(for account security)

Street Address: (no PO box or mail drop)

City: State: ZIP Code:

Mailing Address: (if different from above)


Phone Number: M Check here if this is not a U.S. phone number. Email Address (required for electronic delivery of your account statement and trade confirmations):

M Check here if you are NOT a U.S. citizen. Country of Citizenship:

Country of Dual or Secondary Citizenship: Country of Birth:

Non-U.S. citizens**: Do you hold a current U.S. immigration visa?M Yes M No

Specify Visa Type: Expiration:

*If none, I will submit a photocopy of my passport.**Nonresident aliens must submit a copy of a current passport, and a copy of a bank or brokerage statement. If a U.S. address is listed, then attach a signed letter of instruction explaining why you have a U.S. address.

M Check here if you, your spouse, any member of your immediate family, including parents, in-laws, siblings, and dependents are a director, 10% shareholder, or policy-making officer of a publicly traded company. Specify the company name, ticker symbol, address, city, and state:

M Check here if you, your spouse, any member of your immediate family, including parents, in-laws, siblings, and dependents are licensed or employed by a registered broker-dealer, securities exchange, or member of a securities exchange. We must receive a compliance letter along with this application.

3. TRUSTED CONTACT (OPTIONAL)By completing this section, you authorize TD Ameritrade to contact the person(s) named below for the following reasons: If there are questions or concerns about my whereabouts or health status; If TD Ameritrade suspects that I may be a victim of fraud or financial exploitation; If TD Ameritrade suspects that I might no longer be able to handle my financial affairs; To confirm the identity of any legal guardian, executor, trustee, authorized trader, or holder of a power of attorney; or If TD Ameritrade has any other concerns or is unable to contact me about my account(s) held at TD Ameritrade. Please review the Client Agreement for the full terms and conditions regarding how TD Ameritrade uses this information.

Note: Your Trusted Contact must be someone other than an account owner and cannot be the Investment Advisor. You may provide more than one Trusted Contact Persons by completing and signing additional pages.

Account Agreement Form for Self-Directed Brokerage Accounts

for Plan Participants

*ACS186*

Reset Form

S715NVW NuView IRA

SDPS 186 F 02/18Page 2 of 2

First Name: Middle Initial: Last Name:

Relationship:

Primary Telephone Number: Email Address:

Mailing Address:


4. ACCOUNT AGREEMENTI acknowledge that I have received and read the “Client Agreement,” available at www.tdameritrade.com/retail-en_us/resources/pdf/SDPS182.pdf or by calling 866-766-4015, that will govern my account. I agree to be bound by the “Client Agreement,” which may be amended from time to time and which is incorporated by this reference. I have received and read the TD Ameritrade Privacy Statement. I release and agree to indemnify and hold harmless TD Ameritrade from any and all liability and claims for damages resulting from any action taken pursuant to this Agreement. By my signature below, I attest that I am of legal age to contract and that the information contained in this application is true and correct. I hereby request, subject to acceptance by TD Ameritrade, an account be opened in the name(s) set forth below.

All securities, dividends, and proceeds will be held at TD Ameritrade Clearing, Inc., unless otherwise instructed.

I understand that TD Ameritrade may obtain a current consumer or credit report to determine my eligibility, or continuing eligibility, for credit or for other legitimate business purposes. Any decision by TD Ameritrade to extend credit may be based on information contained in a consumer or credit report, as well as the policies of TD Ameritrade.

I understand that TD Ameritrade may relate information regarding this account, including account delinquency and voluntary closures, to consumer or credit reporting agencies. Upon my request, TD Ameritrade shall inform me of each consumer or credit reporting agency from which they have obtained and/or reported my consumer or credit report. TD Ameritrade agrees to notify the consumer or credit reporting agencies if I dispute the completeness or accuracy of the information furnished by TD Ameritrade. By my signature below, I authorize TD Ameritrade to obtain consumer or credit reports for the name(s) set forth below.

I understand that non-deposit investments purchased through TD Ameritrade are not insured by the Federal Deposit Insurance Corporation (FDIC), are not obligations of or guaranteed by any financial institution, and are subject to investment risk and loss that may exceed the principal invested.

M Unless I have checked this box, TD Ameritrade will provide my name to corporations whose securities I hold in my account for the purpose of additional corporate communications.

Please note: By accepting the Client Agreement, you agree to have all free credit balances held in your retirement account systematically swept into a money market fund, FDIC-insured bank deposit or other products available under TD Ameritrade, Inc.’s sweep program. A terms sheet or prospectus detailing the sweep vehicle will be sent to your address of record at account opening.

This Self-Directed Brokerage Account (“SDBA”) is a part of a retirement plan. TD Ameritrade has an agreement with your TPA/Recordkeeper regarding tax reporting, contribution allocation, and other administrative matters. Pursuant to the agreement, your TPA/Recordkeeper is responsible for much of the administrative tracking. For example, if you have a Roth SDBA, your TPA/Recordkeeper will track your holding period for the Roth contributions. If you have specific questions regarding SDBA administration, please contact your TPA/Recordkeeper.

Important information about procedures for opening a new account:

To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also utilize a third-party information provider for verification purposes and/or ask for a copy of your driver’s license or other identifying documents.

Successors and Heirs. This Authorization supplements and in no way limits or restricts rights which the Clearing Firm may have under any other agreement with me. This Authorization will bind my heirs, executors, administrators, successors, and assigns and will benefit the Clearing Firm’s successors and assigns.

The “Client Agreement” applicable to this brokerage account agreement contains predispute arbitration clauses. By signing this agreement, the parties agree to be bound by the terms of the agreement, including the arbitration agreement located in Section 10 of the Client Agreement, on page 7.

✗ Plan Participant’s Signature: Date:

Original signature required; electronic signatures and/or signature fonts are not authorized.

Investment Products: Not FDIC Insured * No Bank Guarantee * May Lose Value

TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc., members FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. © 2018 TD Ameritrade.