Featured Links

Listed below are links to web sites that may be of interest to you. Feel free to visit these web sites.

  • Form CRS
  • FINRA (Financial Industry Regulatory Authority) - FINRA is the largest independent securities regulator in the U.S. Its chief role is to protect investors by maintaining the fairness of the U.S. capital markets.
  • SIPC - Security Investor Protection Corporation - The Securities Investor Protection Corporation (SIPC) is a federally mandated, non-profit, member-funded, United States corporation created under the Securities Investor Protection Act (SIPA) of 1970. It is a Self-regulatory organization (SRO) which mandates membership by most US-registered broker-dealers. The SIPC fund, which constitutes an insurance programis designed to protect the customers of brokers or dealers subject to the SIPA from loss in case of financial failure of the member.
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