Account Number:

Part 1:

Part 2:

Part 3:

You Fill Out This Part

407/3050 Approval Letter Form

Account owner's request to open an outside brokerage account

Signature: Date:

Member firm acknowledgment & approval

My signature confirms that my employer is a FINRA or Exchange Member Firm, and that I have requested authorization from my employer to open and/or maintain a brokerage account with tastyworks, Inc.

Account Owner's Name (Printed):

Your Compliance Officer Fills Out This Part

, my signature confirms that we do not object to the openingAs a Compliance Officer for

and/or maintaining of a tastyworks, Inc. brokerage account for:

Employee's Name:

Employer (name of Member Firm):

Employer's Address:

State:City: Zip Code:

Phone Number (including area code):

Compliance Address (Required):

Yes, our Firm requests duplicate monthly statements and/or trade confirmations with respect to the above

account sent to the compliance address listed above.

No, our Firm is not requesting duplicate monthly statements or trade confirmations for the above listed account.

Compliance Officer's Name (Printed):

Compliance Officer's Signature: Date:

Once complete, please email this form to accounts@tastyworks.com. Your tastyworks account will be pending until we receive your firm's approval.

407 Approval Letter Form 1 tastyworks, Inc.

customer-name: brokerage-firm-name: city: state: zip-code: phone-number: duplicate-monthly-statements: Offduplicate-trade-confirmations: Offduplicate-statements: Offcompliance-officer-name: date: tastyworks_account_number: customer: identity: legal-name:

employer-name: employer-address: compliance-address: