The type of employee account or employee-related account:

No Not an employee or employee-related account
Bank Employee (B)
Brokerage Access (7)
Brokerage Employee (4)
Correspondent Employee (C)
Non Brokerage Access (8)
Non Brokerage Employee (6)
Relative Employee (5)

The primary account holder's legal address, which cannot contain a P.O. Box. If the primary holder's mailing address is the same as the legal address, only one address displays.

Note
If entitled to edit this field, you must enter a valid zip code and zip code/state combination to save your changes. (Edit an Address)

The address to which the primary account holder wants mail delivered, which can include a P.O. Box. If entitled to add a seasonal address, an "Active Now" indicator displays next to the address that is currently active.

Note
If entitled to edit this field, you must enter a valid zip code and zip code/state combination to save your changes. (Edit an Address)

The feeEngine participation status of the account:

Advisory (A)
Balanced (B)
Equity (E)
Fixed income (F)
Mutual fund (M)
No load mutual fund (N)
Other (O)
Program Account (P)

The seasonal address to which the account holder wants mail delivered, which can contain a P.O. Box.

• The time period that this address can be used cannot exceed 180 days.
• If entitled to edit this field, you must enter a valid zip code and zip code/state combination to save your changes. (Edit an Address)

Indicates whether the account is set up for statement consolidation:

Yes
No

The date of birth of the account holder followed by the calculated age of the account holder.

Note
If the account holder is deceased, age does not display.

The type of government-issued identification. This field renders when Not Applicable is selected in the U.S. Taxpayer ID Type field.

For Person holders:

Driver's License
National ID
Passport
Permanent Resident Identifier
Other Government Issued ID

For Entity holders:

Legal Entity Identifier
National ID
Other Government Issued ID
Permanent Resident Identifier

SSN/ITIN
U.S. individual account holders.
TIN/EIN
U.S. entities.
Not Applicable
Non-U.S. account holders and entities. If you select Not Applicable, Government ID Type and associated fields render.

Indicates whether the account holder is employed by or affiliated with one of the entity types.

Yes
No

If employed, indicates whether the account holder is professionally affiliated with, or employed by, one of the following entities:

Member or nonmember broker-dealer
National or regional stock exchange
Bank
Trust Company
Insurance Company

Indicates whether the account holder is professionally affiliated with, or employed by, one of the following: member or nonmember broker-dealer, national or regional stock exchange, bank, trust company, or insurance company.

Yes
No

The type of features the 407 company allows employees to have:

Allows Cash Only (C)
Allows Margin (M)
Allows Margin and Options (O)

The entity is an accredited investor, as defined by Rule 501(a)of the Securities Act of 1933.

Yes
No

The entity is a U.S. broker-dealer.

Yes
No

The entity is a U.S. registered investment adviser.

Yes
No

The entity is a U.S. registered investment company, as defined by the Investment Company Act of 1940.

Yes
No

The person is an accredited investor, as defined by Rule 501(a) of the Securities Act of 1933.

Yes
No

The person is associated with a U.S. broker-dealer that is different than the broker-dealer that will hold this account.

Yes
No

The person is a member of the board of directors, a 10% shareholder, a policy-making officer, or someone who can direct the management and policies of a publicly traded company.

Yes
No

The person is employed by or associated with the broker-dealer that will hold this account, as defined in Section 3(a)(18) of the Securities Exchange Act of 1934.

Yes
No

The person is associated with a U.S. registered investment adviser.

Yes
No

The relationship of the trusted contact to the primary account holder:

Aunt/Uncle
Brother
Daughter
Father
Friend
Granddaughter
Grandfather
Grandmother
Grandson
Mother
Neighbor
Nephew/Niece
Other
Sister
Son
Spouse/Partner

The type of firm with which the primary account holder is affiliated:

Bank (B)
FINRA Member (N)
Other (O)
NYSE Member (S)

The type of firm with which the primary account holder is employed or affiliated:

Bank (B)
FINRA Member (N)
Other (O)
NYSE Member (S)

The relationship, which includes the company name and symbol/CUSIP:

Director (D)
Policy Making Executive (P)
10% Shareholder (S)

Indicates how to distribute the account's dividend income:

Pay Weekly (1)
Dividends post to the dividend disbursement account and are paid weekly on Friday.
Pay Monthly (2)
Dividends post to the dividend disbursement account and are paid the last Friday of each month.
Reinvest Eligible MF Dividends (3)
Dividends processed according to the sales proceeds instruction. Eligible mutual fund dividends reinvested.
Hold in Account - CR Type 1 (4)
Dividends post to the cash account and held in the designated core money market or as a credit balance if no core account exists.
Pay Semi-Monthly (5)
Dividends post to the dividend disbursement account and are paid the second Friday and the last Friday of each month.
Pay Quarterly (6)
Dividends post to the dividend disbursement account and are paid quarterly on the last Friday of the following months: March, June, September, and December.
Special Dividend Instructions (9)
Dividends processed based on the special instructions defined for the account.
Reinvest Eligible Equity and Mutual Fund Dividends (D)
Dividends processed according to the sales proceeds instruction. Eligible mutual fund and equity dividends reinvested.
Custom Payout (P)
Dividends processed based on the earnings plan defined for the account.
Reinvest Eligible Equity Dividends (S)
Dividends processed according to the sales proceeds instruction. Eligible equity dividends reinvested.

Replaces the Dividend/Capital Gains field if an override exists:

Payout Dividends/Reinvest Capital Gains
Reinvest Dividends/Payout Capital Gains

Indicates whether the account should be purged:

No
Purge the account if or when it meets the purge criteria.
Yes
Do not purge the account even if or when it meets the purge criteria.

Indicates whether performance data for the account is shown on the Analysis tab in Fidelity.com:

Enabled
Disabled

Indicates whether performance data for the account is shown on the Summary and Performance tabs in Fidelity.com. This data is reflected beginning the second Friday of the following month.

Enabled
Disabled

Note
An account cannot be enabled to both Fidelity.com Performance and Wealthscape Performance Measurement at the same time.

Indicates whether the account is enabled for international trading:

Yes
Account is currently enabled for international trading.
Former (F)
Account was formerly, but is no longer, enabled for international trading.

Omnibus accounts, otherwise known as pooled accounts, are defined as a single account that pools the holdings of more than one beneficial owner, whose identity is not disclosed to Fidelity, who has the ability to affect transactions, and for which sub-accounting is performed by the omnibus account holder or a third-party. This may include, but is not limited to, retirement plans, bank pooled accounts, and wrap programs.

Applies to the following registration types: Administrator, Bank, Corporate, Fiduciary, Limited Liability Corporation, Non-Prototype, Non-Prototype IRA, Professional Association, Professional Corporation, and Trust Under Agreement.

An Omnibus Account Certification Form must be on file with Fidelity for your firm to code accounts with the values 01, 02, and 03.

Not an Omnibus Account: FBO Required (01)
Only one underlying shareholder.
Not an Omnibus Account: DVP/RVP (02)
Omnibus: No Restrictions (03)
An omnibus account and intermediary can and will track, collect, and remit short-term redemption fees at the sub-account level.
Omnibus: Restrictions (04)
An omnibus account and intermediary cannot and will not track, collect, and remit short-term redemption fees at the sub-account level. Accounts with this code are blocked from future purchases of Fidelity funds with short-term redemption fees.
Pending: Status Unknown (05)
Internal Use (06)
Internal Use - Account Closed $0 Balance (07)
Internal (08)

The platform used to manage the account, if applicable:

eMoney
Envestnet
Fidelity Institutional Wealth Adviser
Future Adviser
Proprietary
SigFig
Trizic

Indicates what to do with the cash proceeds of a security sale:

Remit Proceeds (1)
Proceeds less than $25 remain in the account. Proceeds between $25 - $10,000 are automatically sent via a check to the name and address of record. Proceeds greater than $10,000 are automatically remitted to the customer if a result of trade-related activity.
Hold Proceeds (2)
Proceeds held in the designated interest-bearing core money market. Retirement accounts must have instructions set to Hold Proceeds.
DVP/RVP (3)
Proceeds delivered according to delivery instructions. This instruction choice uses the DTCC-ID system to settle sell trades electronically.
Autosweep (8)
EFT/Link (9)

Identifies whether the account participates in a 529 plan or is managed:

529 College Savings Plan
Automated Managed Platform (AMP)
Digitally Managed Account (DMA)
Digitally Managed Account (DMP)
Envestnet Direct
Fidelity Managed Account Xchange (FMAX)
Managed Account Solutions (MAS)
Mutual Fund Advantage (MFO)
Reporting Only Solution (MAS)
Reporting Only Solution (FMAX)

Indicates what to do with the physical securities when they are purchased in the account:

Transfer & Ship Client (1)
DVP/RVP (3)
Hold In Street Name (4)
Transfer Blank Name Ship Client (5)
Transfer to Alt. Registration, Ship to Customer (6)
Transfer to Alt. Registration, Ship to Alternate (7)
Transfer to Customer, Ship to Alternate Address (8)
Special Security Instructions (9)

Indicates whether the primary account holder is a participant in Administrative Trustee Services:

Yes
No

Indicates whether the account is enabled or disabled for Wealthscape Performance Measurement:

Enabled
Disabled

Note
An account cannot be enabled to both Fidelity.com Performance and Wealthscape Performance Measurement at the same time.

The status of any additional paperwork at Fidelity that is associated with the account. Applies to the following registration types: Investment Club, Partnership, Joint with Rights of Survivorship, Joint Community Property, Joint Tenants in Common, Joint Tenants in Entirety, Corporation, Trust Under Agreement, and Estate Executor.

Papers On File (Y)
Papers In Transit (T)
Papers Rejects (R)
Papers On File (1)
Trust Agreement On File (2)
Other

The status of the new account application at Fidelity:

Converted IRA Account (C)
Legal NIGO (L)
Opened By Phone, No Papers (N)
Rejected (R)
In Transit (T)
On File (Y)
Rejected Paperwork Resubmitted by Client (Z)

For accounts with a Corporate or LLC registration type, this is the corporation's tax status:

Not Applicable
C-Corporation (C)
Pending (P)
S-Corporation (S)

Indicates whether the primary adviser is authorized to act on the customer's behalf on cash management products (for example, order a new debit card):

No
Yes

Indicates whether the account is set up to carry both a cash balance and a margin debit balance at the same time (discretionary margin), instead of immediately paying down margin debit from available cash:

No
Yes

If account is exempt from backup withholding, the reason for the exemption:

501(a), 403(b)(7), or 401(f)(2) (01)
An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the requirements of section 401(f)(2).
U.S. Agency (02)
The United States or any of its agencies or instrumentalities.
State or Subdivision (03)
A state, the District of Columbia, a possession of the United States, or any of their political subdivisions or instrumentalities.
Foreign Government/Agency (04)
A foreign government or any of its political subdivisions, agencies, or instrumentalities.
Corporation (05) A corporation.
Registered Securities Dealer (06)
A dealer in securities or commodities required to register in the United States, the District of Columbia, or a possession of the United States.
Future Commission Merchant (07)
A futures commission merchant registered with the Commodity Futures Trading Commission.
Real Estate Inv. Trust (REIT) (08)
An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the requirements of section 401(f)(2).
Registered Entity (09)
An entity registered at all times during the tax year under the Investment Company Act of 1940.
Common Trust Fund (10)
A common trust fund operated by a bank under section 584(a).
Financial Institution (11)
A financial institution.
Intermediary (12)
An intermediary known in the investment community as a nominee or custodian.
Trust (13)
A trust exempt from tax under section 664 or described in section 4947.

Indicates whether a Letter of Intent (LOI) Agreement is on file for the account with Fidelity:

Not On File (N)
Papers Approved (P)

The status of the Margin Agreement paperwork if the account holder requested margin borrowing:

Papers On File (1)
Papers Rejected (R)
Papers in Transit (T)
Resubmitted by your office (Z)

If the account is a member of a Multiple Margin Relationship, the multiple margin calculation method used by the account:

Aggregated
The value of the margin surplus from all accounts in the Relationship is consolidated within the Primary Account and can be withdrawn from the Primary Account. As a result, the availability of funds in the sub-accounts does not include margin surplus and is equal to each account's core fund balance. If there is a margin deficiency, the availability of core funds may be reduced.

Distributed
The value of the margin surplus for each account in the Relationship is calculated based on the assets in the individual account. If there is a margin deficiency, the availability of core funds may be reduced.

The status of the Non Purpose Loan Agreement on file for the account with Fidelity:

Not On File (N)
Papers On File (Y)

The status of the option level paperwork if the account holder requested options trading:

Papers On File (Y)
Papers Rejected (R)
Papers in Transit (T)

For a retirement account, this is the status of the name/TIN mismatch letter sent to the account holder if the account is subject to a P-Notice (account holder name or TIN does not match information in the Social Security Administration or IRS files).

Mailed (M)
Letter has been mailed.
Outstanding (O)
Letter is outstanding, indicating the P-Notice Date has passed and an in good order (IGO) response has not been received.
Received (R)
Letter has been received, indicating an IGO response was provided.

The status of the Portfolio Margin paperwork on file for the account at Fidelity:

Not On File (N)
Papers On File (Y)

The status of the Prime Broker Agreement on file for the account at Fidelity:

Pending Investment Adviser (0)
Received Schedule A, Not Received Form 151 (1)
Received BOTH Schedule A and Form 151 (2)
Pending Prime Broker - Stand Alone (3)
Completed Prime Broker - Stand Alone (4)
Pending Prime Broker - Investment Adviser (5)
Completed Prime Broker - Investment Adviser (6)
Completed Investment Adviser - Customer (7)
Pending Executing Broker - Investment Adviser (8)
Completed Executing Broker - Investment Adviser (9)
Neither Schedule A NOR Form 151 Received (A)
Pending Risk Review (B)
Received Form 151, Not Received Schedule A (C)

The status of the Master Securities Lending Agreement (MSLA) if the account is enrolled in the Fully Paid Lending Program:

Papers On File (Y)
Pending (P)

The tax filing status of the primary account holder:

US Citizen
Exempt Account (2)
US Citizen - Not Certified (3)
Resident Alien - Not Certified (4)
US Citizen - Government Mandate (5)
Resident Alien - Government Mandate (6)
US Citizen - Certified (7)
Resident Alien - Certified (8)
Non-Resident Alien - Certified (A)
Non-Resident Alien - Not Certified (B)
1st B Notice (C)
2nd B Notice (D)

The form the account holder used to establish foreign status, beneficial ownership of income, or to claim reduced withholding tax benefits provided by tax treaty:

W8 BEN (1)
Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding
W8 ECI (2)
Certificate of Foreign Person's Claim for Exemption From Withholding on Income Effectively Connected with the Conduct of a Trade or Business in the United States
W8 EXP (3)
Certificate of Foreign Government or Other Foreign Organization for United States Tax Withholding
W8 IMY (4)
Certificate of Foreign Intermediary, Foreign Partnership, or Certain U.S. Branches for United States Tax Withholding

For non-529 beneficiaries, this is the beneficiary type:

None (N)
Primary (P)
Account holders can designate individual(s) or entities entitled to receive the account assets upon death.
Contingent (C)
Account holders can designate individual(s) or entities entitled to receive the account assets

For non-529 beneficiaries; how shares of the account will be distributed to the designated beneficiaries:

Per Stirpes (S)
Per Capita (C)

The relationship of the beneficiary to the account holder:

Spouse (S)
Non Spousal Individual (N)
Trust (T)

The type of monetary transactions you can initiate on behalf of your customer. (Asset Movement Authorization Levels)

Note
Fidelity may require direct instructions from your customer for transactions over a certain amount.

The type of government-issued identification. This field renders when Not Applicable is selected in the U.S. Taxpayer ID Type field.

For Person holders:

Driver's License
National ID
Passport
Permanent Resident Identifier
Other Government Issued ID

For Entity holders:

Legal Entity Identifier
National ID
Other Government Issued ID
Permanent Resident Identifier

The relationship between the authorized trader and the account:

Adviser (A)
Discretionary (D)
Full (F)
Limited (L)
Message (M)
Power of Attorney (P)
3rd Party (T)

Indicates how the authorized trader was specified on the account:

ADV: Adviser Appointed
CUST: Customer Appointed
TC: Trust Custody

SSN/ITIN
U.S. individual account holders.
TIN/EIN
U.S. entities.
Not Applicable
Non-U.S. account holders and entities. If you select Not Applicable, Government ID Type and associated fields render.

The entity is an accredited investor, as defined by Rule 501(a)of the Securities Act of 1933.

Yes
No

The entity is a U.S. broker-dealer.

Yes
No

The entity is a U.S. registered investment adviser.

Yes
No

The entity is a U.S. registered investment company, as defined by the Investment Company Act of 1940.

Yes
No

The person is an accredited investor, as defined by Rule 501(a) of the Securities Act of 1933.

Yes
No

The person is associated with a U.S. broker-dealer that is different than the broker-dealer that will hold this account.

Yes
No

The person is a member of the board of directors, a 10% shareholder, a policy-making officer, or someone who can direct the management and policies of a publicly traded company.

Yes
No

The person is employed by or associated with the broker-dealer that will hold this account, as defined in Section 3(a)(18) of the Securities Exchange Act of 1934.

Yes
No

The person is associated with a U.S. registered investment adviser.

Yes
No

The relationship between the interested party and the account:

Accountant (AC)
Employer NFSC (AN)
Attorney (AT)
Dealer (DL)
Primary Family (FF)
Financial Planner (FP)
Related Family (FR)
Secondary Family (FS)
Investment Adviser (IA)
Interested Party (IP)
PAS Address IP (IT)
Primary Adviser (JB)
SDB Primary Adv (J2)
Employer Other (OA)
Relative (RL)
Secondary Adviser (SB)
SIMPLE Employer (SM)
SDB Secondary Adviser (S2)
Authorized Trader (TRAD)
407 Letter Company (4L)
407 Letter Company (4N)

The address of the stakeholder:

• If Country is United States, includes Address, City, State, and Zip Code.
• If Country is not United States, includes Address, City, Province, and Postal Code.

The United States citizenship status for the stakeholder:

US Citizen (01)
Resident Alien (02)
Not A Non Resident Alien (03)
Non Resident Alien (04)

The relationship between the stakeholder and the account:

Authorized Agent (ST01)
Beneficial Owner (ST02)
Authorized Agent/Beneficial Owner (ST03)
Grantor (GRNT)
Deceased Grantor (DECG)
Designated Representative (DREP)
Appoint/Remove Authority (AUTH)
Entity Owner (EOWN)
Control Person (CNTL)
Revoke/Amend (REVA)
Trust Beneficiary (TBEN)
Non-Acting Co Trustee (NACT)

The type of tax identification number of the account stakeholder:

SSN (Social Security number) Applicable to a person.
TIN (Tax identification number) Applicable to an entity.

The number of required signatures for checks associated with this account:

1
2

Indicates whether checkwriting is established on the account:

Yes
No

Indicates whether the account has a debit or credit card associated with it:

Yes
No

The delivery instructions for any other mailings:

Manager
Send other mailings to the manager.
Customer
Send other mailings to your customer.

The delivery instructions for annual reports and prospectuses:

Manager
Send annual reports and prospectuses to the manager.
Customer
Send annual reports and prospectuses to your customer.

The delivery instructions for notices of corporate actions:

Manager
Send notices of corporate actions to the manager.
Customer
Send notices of corporate actions to your customer.

The delivery instructions for proxy instructions:

Manager
Send proxy instructions to the manager.
Customer
Send proxy instructions to your customer.

The marital status of the primary account holder:

Married
Single
Refused
Not Asked

The five-digit ID of the agent bank.

Note
When the IDC field contains 1, this field must display 99999.

The Institutional Delivery Code that indicates whether the account is a DVP/RVP account:

1 DTC instructions for a non-DVP/RVP account.
2 DVP/RVP account.