For Your Protection

We maintain discretion over your investment account so that we can be responsive to making changes when changes need to be made. We do not take custody of your assets, however our custodian, Pershing, monitors all of our investment activities. Through Pershing, your account is offered the highest protection in the industry.  Pershing, which is owned by Bank of NY Mellon, is the world’s largest asset custodian with over $20 trillion in assets.  Both Pershing and SSG, our clearing house, are regulated by FINRA and MSRB, different regulators that oversee our business. 

   
     SELECTING AN ADVISOR      

        Fiduciary Responsibilities

        For Your Protection

        NAPFA  

SSG is a member of the Securities Investor Protection Corporation (SIPC) created by Congress in 1970.  When a brokerage firm is closed due to bankruptcy or other financial difficulties and customer assets are missing, SIPC steps in to provide account protection up to $500,000, of which $100,000 may be for cash claims.  In addition, SSG has supplemental account protection insurance in place through Lloyd’s which provides coverage up to $1.9 million per client account – the highest level of protection offered in the industry today. 

We take client confidentiality very seriously.  No personal information that comes into our office ever leaves our office.  In fact, all associates within the firm sign a confidentiality agreement.  We take a great deal of care to protect any electronic data that pertains to you as well and have put systems in place ensure it remains secure.

  
           
             Information: SIPC

             To view more information about SIPC