Legal Compliance
Terms of Use
Legal Terms:
PLEASE READ THESE TERMS CAREFULLY BEFORE USING THIS SITE. USING THIS SITE INDICATES THAT YOU ACCEPT THESE TERMS. IF YOU DO NOT ACCEPT THESE TERMS, DO NOT USE THIS SITE. The SunGard Brokerage & Securities Services LLC’s (“SBSS”) Privacy Policy also forms part of these terms. We reserve the right, at our discretion, to change these terms at any time. Please check these terms periodically for changes. Using this Site following the posting of changes to these terms indicates that you accept them as changed.
a. GENERAL USE RESTRICTIONS. All information, documents, products, software, services and other materials (the "Materials") provided on this Site are the property and copyrighted work of SBSS or a third party developer, author, manufacturer or vendor (the "Third Party Provider"). Except as stated in these legal terms, none of the Materials may be copied, downloaded, reproduced, distributed, republished, displayed, posted or transmitted in any form or by any means, including but not limited to electronic, mechanical, photocopying or recording, without the prior express written permission of SBSS or the Third Party Provider. No part of this Site, including but not limited to any logo, graphic, sound or image, may be reproduced or retransmitted in any way, or by any means, without the prior express written permission of SBSS. You also may not, without SBSS' prior express written permission, "mirror" any Material on any other server.
Except as stated in these legal terms, nothing on this Site shall be construed as conferring, by estoppel, implication or otherwise, any license to any intellectual property rights of SBSS or any Third Party Provider. You are responsible for obtaining any such license.
SBSS grants you permission to display, copy, distribute and download SBSS' Materials provided that: (1) both the SBSS copyright notice (Copyright © 2012 SunGard Brokerage & Securities Services LLC. All rights reserved.) and this permission notice appear in such Materials, and (2) the use of such Materials is solely for internal and informational use and will not be copied or posted on any networked computer or broadcast in any media, and (3) no modifications of any such Materials are made. If you breach any of these provisions, this permission terminates automatically without notice, and you must immediately destroy any Materials in your possession or control.
Any unauthorized use of any Materials may violate copyright laws, trademark laws, the laws of privacy and publicity, and communications regulations and statutes.
b. LINKS TO OTHER MATERIALS. This Site provides links to other SBSS sites and to third party sites. The linked third party sites (including any links provided by the third party sites) are not under the control of SBSS, and SBSS is not responsible for their content. SBSS does not endorse any third party product or any non-SBSS company to which this Site provides a link. If you decide to access any such third party site, you do so at your own risk. SBSS reserves the right to terminate any link or linking program at any time.
c. USER CHAT ROOMS. With respect to any areas on this Site where users transmit or post communications, whether to SBSS, to each other or to third parties, including but not limited to chat rooms, bulletin boards or user forums, SBSS may, but is not obligated to, monitor or review the activity in such areas and/or the content of such communications. SBSS will have no liability related to the content of any such communications, whether or not arising under the laws of copyright, libel, privacy, obscenity or otherwise.
d. DISCLAIMER. ALL MATERIALS ARE PROVIDED "AS IS" AND WITHOUT ANY WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR NON-INFRINGEMENT OF INTELLECTUAL PROPERTY. Further, SBSS does not warrant the accuracy or completeness of any of the Materials. The Materials and related graphics published on the website may include technical inaccuracies or typographical errors. SBSS may change any of the Materials at any time without notice. The Materials may be out of date, and SBSS makes no commitment to update the Materials.
e. USE AND ACCESS RESTRICTIONS. This Site is owned and operated in the United States by SBSS. If you choose to access this Site from another country, you do so on your own initiative and are responsible for compliance with local laws. Software from this Site is subject to United States export controls. No software from this Site may be downloaded or otherwise exported or re-exported in violation of any United States export controls or other applicable laws. By downloading or using any Software, you represent and warrant that you are doing so in compliance with United States export controls and other applicable laws.
f. LIMITATION OF LIABILITY. IN NO EVENT WILL SBSS, ITS AFFILIATES, ITS SUPPLIERS, OR THIRD PARTIES MENTIONED AT THIS SITE BE LIABLE FOR ANY SPECIAL, INDIRECT OR CONSEQUENTIAL OR ANY DAMAGES WHATSOEVER (INCLUDING, WITHOUT LIMITATION, THOSE RESULTING FROM LOST PROFITS, LOST DATA OR BUSINESS INTERRUPTION) ARISING OUT OF THE USE, INABILITY TO USE, OR THE RESULTS OF USE OF THIS SITE, ANY WEB SITES LINKED TO THIS SITE, OR THE MATERIALS OR INFORMATION CONTAINED AT ANY OR ALL SUCH SITES, OR IN CONNECTION WITH THE USE OR PERFORMANCE OF SOFWARE OR OF FAILURE TO PROVIDE SERVICES, WHETHER BASED ON WARRANTY, CONTRACT, TORT, NEGLIGENCE OR ANY OTHER LEGAL THEORY AND WHETHER OR NOT ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. BECAUSE SOME JURISDICTIONS PROHIBIT THE EXCLUSION OR LIMITATION OF LIABILITY FOR CONSEQUENTIAL OR INCIDENTAL DAMAGES, THE ABOVE LIMITATION MAY NOT APPLY TO YOU.
g. JURISDICTION AND CHOICE OF LAW. Any dispute relating to this website in any manner shall be governed by the laws of the Commonwealth of Pennsylvania, excluding choice of law, and shall exclusively be brought in the state or federal courts of the Commonwealth of Pennsylvania.
back to top Privacy Policy
SunGard Commitment to Privacy
SunGard Brokerage & Securities Services LLC (“SBSS”) is committed to maintaining your confidence and trust, and accordingly maintains the following Privacy Policy to protect the personal information you provide online. To make this notice easy to find, we make it available on our homepage and at every point that personally identifiable information may be requested. Questions regarding this policy should be directed to 201-356-1400
Collection and Use of Information
SBSS will only collect your personal information (such as your name, address, or telephone number) if you provide it voluntarily. If you do not want this information to be collected by us, please do not submit it. SBSS will not retain your personal information longer than is necessary for the purpose for which it is collected.
In addition, in the course of using our site we automatically track certain information about you. This information includes the URL that you just came from (whether this URL is on our site or not), which URL you go to next (whether this URL is on our site or not), what browser you are using, and your IP address. Many sites automatically collect this information.
We also employ the use of cookies to assist us in this process. A cookie is a small piece of computer code that enables web servers to identify users. Cookies do not store any information that you have provided to our site. They are simply identifiers. You have the ability to delete cookie files from your hard drive at any time or avoid cookies by configuring your browser to reject them or to notify you when a cookie is being placed on your hard drive.
We only use the information which is provided through our site to help us improve our services to you, to provide you with the products you have requested, to inform you about additional products or services that may be of interest to you, for marketing purposes and for other internal purposes. SBSS occasionally hires other companies to provide limited services on our behalf, including packaging, mailing and delivering purchases, answering customer questions about products or services, sending mail and processing event registration. SBSS will only provide these companies with the information they need to deliver the service, and they are prohibited from using that information for any other purpose. Other than what is described, SBSS does not sell, trade or rent your personal information to others outside of SBSS companies and their advertising and promotional agencies and consultants. If you do not wish to receive this information, please contact us at 201-356-1400.
At any time, while accessing our site, any user, while online, may decline participation in any activity that asks for information (i.e. survey email, or ecommerce). Your choice not to participate will in no way affect your ability to use any other feature on our site.
Security
SBSS has implemented a number of security features throughout the SBSS site to prevent the unauthorized release of or access to personal information. For example, database information is kept separate from live servers and is firewall protected. Please be advised, however, that although SBSS has endeavored to create a secure and reliable site for you, the confidentiality of any communication or material transmitted to or from SBSS via the SBSS site or e-mail cannot be guaranteed. When disclosing any personal information, you should remain mindful of the fact that it is potentially accessible to the public, and consequently, can be collected and used by others without your consent. SBSS has no responsibility or liability for the security of information transmitted via the Internet.
External Web Sites
To the extent hyperlinks or banner advertisements incorporating hyperlinks are utilized to access third party sites, you should be aware that these third party web sites are not controlled by SBSS and, therefore, are not subject to this Privacy Policy. You should check the privacy policies of these individual sites to see how your personal information will be utilized by the operators of those third party web sites.
Your Consent
By using our Web site, you consent to the collection and use of this information by SBSS. SBSS may modify this Privacy Policy from time to time. If we decide to change our Privacy Policy, we will post those changes on this page. Your continued use of this site following the posting of changes to these terms will mean you accept these changes. You may have the right to access the personal information which SBSS has collected about you. You may also have the right to modify any errors contained in that information. Please contact us for more details.
How to Contact Us
Should you have other questions or concerns about this Privacy Policy, please call us at 201-356-1400.
back to top Business Continuity Plan
SunGard Brokerage & Securities Services LLC
Disclosure Statement
SunGard Brokerage & Securities Services LLC (the “Firm” or “SBSS”) has developed a Business Continuity Plan (the “BCP”) to ensure a timely and coordinated response to events that may significantly disrupt its business. As the timing, severity, and impact of disasters and disruptions is unpredictable by nature, the BCP must be flexible in responding to actual events as they occur.
Overview of Business Continuity Plan
The Firm’s goal in responding to a Significant Business Disruption (“SBD”) is to safeguard the Firm’s employees and property, safeguard customer assets, make a financial and operational assessment of the situation, protect the Firm’s books and records, and allow the Firm’s customers to transact business. The BCP is designed to allow the Firm to resume operations as quickly as possible, given the scope and severity of the SBD.
The BCP addresses the following areas: (i) data backup and recovery; (ii) mission critical systems; (iii) financial and operational assessments; (iv) alternative communications with customers, employees, and regulators; (v) alternate physical location of employees; (vi) critical supplier, contractor, bank and counter-party impact; (vii) regulatory reporting; and (viii) providing the Firm’s customers prompt access to their funds and securities if the Firm is unable to continue its business.
Varying Disruptions
SBDs can vary in their scope and magnitude. They may affect only the Firm, a single building housing the Firm, the business district where the Firm is located, the city where the Firm is located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. For example, if there is a local power outage, the Firm may continue operations utilizing on-site backup power systems. If the building housing the Firm is deemed inoperable, the Firm may transfer operations to an alternative local site if necessary. In a disruption affecting the Firm’s business district, city, or region, the Firm may transfer operations to a site outside of the affected area. In any situation, the Firm plans to attempt to continue in business and notify customers through the Firm web site or any other means that remain available how customers can contact us. If the SBD is so severe that it prevents the Firm from remaining in business, the Firm will work to assure customers prompt access to their funds and securities.
For More Information
This overview is designed to satisfy the disclosure requirements under FINRA Rule 4370 requiring the establishment and maintenance of a BCP. If you have questions about the Firm’s business continuity planning, you can contact us by phone at 201-356-1400, or by fax at 201-653-3853.
back to top Important Disclosures
Extended Hours Trading Risk Disclosure
Overnight Positions Risk
Positions held into the close or entered into during the extended trading hours may not be available for possible liquidation, thus causing the trader to carry the position over night. This can expose the trader to additional market risk as well as changes in margin to their account.
Risk of Lower Liquidity
Liquidity generally refers to the ability of market participants to buy and sell securities. Basically, the more orders that are available in a market, the greater the liquidity. Liquidity is important because with greater liquidity it is easier for investors to buy or sell securities, and as a result, investors are more likely to pay or receive a competitive price for securities purchased or sold. There may be lower liquidity in extended hours trading as compared to regular market hours. As a result, your order may only be partially executed, or not at all.
Risk of Higher Volatility
Volatility refers to the changes in price that securities undergo when trading. Generally, the higher the volatility of a security, the greater its price swings. There may be greater volatility in extended hours trading than in regular market hours. As a result, your order may only be partially executed, or not at all, or you may receive an inferior price in extended hours trading than you would during regular market hours.
Risk of Changing Prices
The prices of securities traded in extended hours trading may not reflect the prices either at the end of regular market hours, or upon the opening the next morning. As a result, you may receive an inferior price in extended hours trading than you would during regular market hours.
Risk of Unlinked Markets
Depending on the extended hours trading system or the time of day, the prices displayed on a particular extended hours trading system may not reflect the prices in other concurrently operating extended hours trading systems dealing in the same securities. Accordingly, you may receive an inferior price in one extended hours trading system than you would in another extended hours trading system.
Risk of News Announcements
Normally, issuers make news announcements that may affect the price of their securities after regular market hours. Similarly, important financial information is frequently announced outside of regular market hours. In extended hours trading, these announcements may occur during trading, and if combined with lower liquidity and higher volatility, may cause an exaggerated and unsustainable effect on the price of a security.
Risk of Wider Spreads
Generally, the spread refers to the difference between the price available for an immediate sale (bid) and immediate purchase (ask) for a stock. Lower liquidity and higher volatility in extended hours trading may result in abnormal or unusually wide spreads for a particular security.
back to top Best Execution (Reg NMS Rule 605)
Pursuant to the U.S. Securities and Exchange Commission (“SEC”) Rule 605, certain "market centers" are required to publicly disclose, on a monthly basis, certain statistical information relating to the quality of executions provided to eligible orders. The information generally depicts how orders of various sizes are executed relative to quotes existing at the time of order receipt, and also attempts to measure speed of execution.
The disclosures required do not encompass all of the factors that may be important to investors in evaluating the order execution services of a broker-dealer. In addition, any particular market center's statistics will encompass varying types of orders routed by different broker-dealers on behalf of customers with a wide range of objectives. Accordingly, the statistical information required alone does not create a reliable basis to address whether any particular broker-dealer failed to obtain the most favorable terms reasonably available under the circumstances for customer orders.
This information is presented in accordance with uniform standards that are based on broad assumptions about order execution and routing practices.
Note: we have made every attempt to prepare these statistics in compliance with SEC rules. However, these statistics have not been audited and may contain errors. Accordingly, any decision about whether to open an account at SBSS should not be based solely on these statistics, but on an evaluation of SBSS’s full range of provided services.
The Rule 605 statistics for SunGard Brokerage & Securities Services LLC are available for public review by clicking here.
back to top Order Routing (Reg NMS Rule 606)
Pursuant to the U.S. Securities and Exchange Commission (“SEC”) Rule 606, certain "broker-dealers", including SunGard Brokerage & Securities Services LLC (“SBSS”), are required to publicly disclose, on a quarterly basis, certain statistical information relating to their most significant execution venues for certain types of “non-directed” customer orders (i.e., any order that a customer has not specifically instructed to be routed to a particular venue for execution). According to the SEC, the quarterly reports relating to order routing are intended to provide a general overview of a broker-dealer's practices that is accessible and useful to individual investors.
SBSS’s quarterly order routing report is divided into four sections: one for securities listed on the New York Stock exchange, one for securities listed on the NASDAQ Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange-listed options. For each section, this report identifies the venues most often selected by SBSS, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of SBSS’s relationship with the venues, if applicable.
If you are a customer of SBSS and would like additional information on our order routing policies and procedures and how they pertain to your account, please call 201-356-1400. SBSS shall, upon customer request, disclose the identity of the venue to which the customer's orders were routed for execution within the six months prior to the request, including whether the orders were directed orders or non-directed orders, time of the transactions, and other salient information.
Note: we have made every attempt to prepare these statistics in compliance with SEC rules. However, these statistics have not been audited and may contain errors. Accordingly, any decision about whether to open an account at SBSS should not be based solely on these statistics, but on an evaluation of SBSS’s full range of provided services.
This information is presented in accordance with uniform standards that are based on broad assumptions about order execution and routing practices.
The Rule 606 statistics for SunGard Brokerage & Securities Services LLC are available for public review by clicking here.
back to top Margin Disclosure Statement
SunGard Brokerage & Securities Services LLC is furnishing this disclosure to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin account, you should carefully review your margin agreement. Please contact us regarding any questions or concerns you may have with your margin accounts at 201-356-1400.
When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase price. If you choose to borrow funds, you will open a margin account. The securities purchased are SBSS's (and/or its clearing agents’) collateral for the granted loan. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, SBSS and/or its clearing agents can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with SBSS directly or through its clearing agents, in order to maintain the required equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: You can lose more funds than you deposit in the margin account
A decline in the value of securities that are purchased on margin may require you to provide additional funds to SBSS and/or its clearing agents to avoid the forced sale of those securities or other securities or assets in your account(s). SBSS and/or its clearing agents can force the sale of securities or other assets in your account(s).
If the equity in your account falls below the maintenance margin requirements or SBSS's and/or its clearing agents higher “house” requirements, SBSS and/or its clearing agents can sell the securities or other assets in any of your accounts held by SBSS and/or its clearing agents to cover the margin deficiency. You also will be responsible for any short fall in the account after such a sale.
SBSS and/or its clearing agents can sell your securities or other assets without contacting you.
Some investors mistakenly believe that they must be contacted for a margin call to be valid, and that SBSS and/or its clearing agents cannot liquidate securities or other assets in their accounts to meet the call unless they are contacted first. This is not the case. SBSS and/or its clearing agents will attempt to notify customers of margin calls, but is not required to do so. However, even if SBSS and/or its clearing agents has contacted a customer and provided a specific date by which the customer can meet a margin call, SBSS and/or its clearing agents can still take necessary steps to protect its financial interests, including immediately selling the securities without notice to the customer.
You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call.
Because the securities are collateral for the margin loan, SBSS and/or its clearing agents have the right to decide which security to sell in order to protect its interests.
SBSS and/or its clearing agents can increase its “house” maintenance margin requirements at any time and is not required to provide you advance written notice.
These changes in firm policy often take effect immediately and may result in the issuance of a maintenance margin call. Your failure to satisfy the call may cause SBSS and/or its clearing agents to liquidate or sell securities in your account(s).
You are not entitled to an extension of time on a margin call.
While an extension of time to meet margin requirements may be available to customers under certain conditions, a customer does not have a right to the extension.
Day-trading Margin Requirements
As defined by the NASD, a pattern day trader is defined as those customers that day trades four or more in five business days. If day trading activities do not exceed 6% of the total trading activity during the same five business day period the clearing firm is not required to designate such accounts as pattern day traders. If activity in the account is classified as "pattern day trading," you may be subject to the following restrictions:
Minimum Equity Requirement
Once classified as a pattern day trader, the account must maintain a minimum equity of $25,000. The $25,000 must be maintained at the start of each any that trading occurs. If the account falls below the $25,000 minimum equity requirement trading will not be allowed. If a day trade is executed when the equity is below $25,000, the account will be restricted to liquidating/closing transactions for a period of ninety (90) days, or until the equity is brought up to $25,000. Pattern day trader accounts that fall below the $25,000 minimum equity requirement will not be allowed to day trade.
Day Trading Buying Power
Day Trading Buying Power is equal to the equity in the account at the close of business the previous day, less Self-Regulatory Organization (“SRO”) requirements, multiplied by up to four.
Day-Trading Minimum Equity Call
If the underlying account has less than $25,000 equity and such account is identified as a pattern day-trading account, a day-trading minimum equity call will be issued. If a day trade is executed when the equity is below $25,000, the account will be restricted to closing/liquidating transactions for a period of ninety (90) days, or until the equity is brought up to $25,000.
Day-Trading Buying Power Call
If an account satisfies minimum equity requirements for day trading and exceeds the day-trading buying power at any point throughout the trading day, a day-trading buying power call will be issued. Once a day-trading buying power call is issued, the day-trading buying power will be restricted to two (2) times SRO excess for five (5) business days unless the call is prior to five (5) business day. If the day-trading buying power call is not met within five (5) business days, the account will be permitted to execute cash transactions only for ninety (90) days, or until the call is satisfied. It is possible to sustain multiple day-trading buying power violations which may result in a restriction to cash transactions only. Day-trading calls can only be met by depositing cash, fully paid securities, selling non-marginable securities, or by selling long options held in the pattern day trading account.
Regulation T Restricted accounts - Pattern day trader accounts under a Regulation T restriction will have their buying power limited as follows:
- If the account satisfies the $25,000 minimum equity requirement, the account will receive the lesser of SMA times two or SRO excess times four.
- A pattern day trader accounts that fall below the $25,000 minimum equity requirement will not be allowed to day trade. If a day trade is executed when the equity is below $25,000, the account will be restricted to closing/liquidating transactions for a period of ninety (90) days, or until the equity is brought up to $25,000.
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Electronic Trading Disclosure
The risk of loss in electronic trading can be substantial. Therefore, you should carefully consider whether such trading is suitable for you in light of your circumstances and financial resources. System access and trade executions may be delayed or fail due to market volatility, system failure, high volume or other factors.
back to topDay Trading Risk Disclosure
You should consider the following points before engaging in a day-trading strategy. For purposes of this notice, a "day-trading strategy" means an overall trading strategy characterized by the regular transmission by a customer of intraday orders to effect both purchase and sale transactions in the same security or securities.
You can lose more funds than you deposit in the margin account.
A decline in the value of securities that are purchased on margin may require you to provide additional funds to SBSS and/or its clearing agents to avoid the forced sale of those securities or other securities or assets in your account(s).
Day trading can be extremely risky.
Day trading generally is not appropriate for someone of limited resources and limited investment or trading experience and low risk tolerance. You should be prepared to lose all of the funds that you use for day trading. In particular, you should not fund day-trading activities with retirement savings, student loans, second mortgages, emergency funds, funds set aside for purposes such as education or home ownership, or funds required to meet your living expenses.
Be cautious of claims of large profits from day trading.
You should be wary of advertisements or other statements that emphasize the potential for large profits in day trading. Day trading can also lead to large and immediate financial losses.
Day trading requires knowledge of securities markets.
Day trading requires in-depth knowledge of the securities markets and trading techniques and strategies. In attempting to profit through day trading, you must compete with professional, licensed traders employed by securities firms. You should have appropriate experience before engaging in day trading.
Day trading requires knowledge of a firm's operations.
You should be familiar with a securities firm's business practices, including the operation of the firm's systems and procedures. Under certain market conditions, you may find it difficult or impossible to liquidate a position quickly at a reasonable price. This can occur, for example, when the market for a stock suddenly drops, or if trading is halted due to recent news events or unusual trading activity. The more volatile a stock is, the greater the likelihood that problems may be encountered in executing a transaction. In addition to normal market risks, you may experience losses due to system failures.
Day trading may generate substantial commissions, even if the per trade cost is low.
Day trading involves aggressive trading, and generally you will pay commissions on each trade. The total daily commissions that you pay on your trades will add to your losses or significantly reduce your earnings.
Day trading on margin or short selling may result in losses beyond your initial investment.
When you day trade with funds borrowed from a firm or someone else, you can lose more than the funds you originally placed at risk. A decline in the value of the securities that are purchased may require you to provide additional funds to the firm to avoid the forced sale of those securities or other securities in your account. Short selling as part of your day-trading strategy also may lead to extraordinary losses, because you may have to purchase a stock at a very high price in order to cover a short position.
Potential Registration Requirements
Persons providing investment advice for others or managing securities accounts for others may need to register as either an "Investment Advisor" under the Investment Advisors Act of 1940 or as a "Broker" or "Dealer" under the Securities Exchange Act of 1934. Such activities may also trigger state registration requirements.
SEC Rule 15c3-2 Disclosure
For customer accounts with free credit balance, please be advised that such credit balances or funds are not segregated and may be used in the operation of the business of SBSS. Such credit balances or funds are payable on demand by you.
back to topNotice to Clients Regarding Information Collected for Customer Identification Purposes (“CIP”)
To help the US government fight the funding of terrorism and money laundering activities, SBSS is required by USA PATRIOT Act and FINRA Rule 3310 to obtain, verify, and record information that identifies each entity that obtains products or services from SBSS. As such, SBSS has established a Client Identification Program (“CIP”) and will collect certain information such as entity name, physical address, tax identification number as well as any other information that will allow SBSS to identify that entity. SBSS may also request to obtain identifying documents, such as formation documents, business licenses or similar records.
back to topSIPC Protection
SunGard Brokerage & Securities Services LLC (“SBSS”) is a member of the Securities Investor Protection Corporation (“SIPC”). SIPC protects the clients of its member firms against the loss of their securities in the event of the member’s insolvency or liquidation. Each client is insured up to a maximum of $500,000 (including $250,000 for claims for cash). For more information on SIPC coverage, please see the explanatory brochure at sipc.org or contact SIPC at 202-371-8300. SIPC does not insure the quality of investments or protect against losses from fluctuating market value.
back to topInvestor Education and Protection
Public Disclosure: You may reach FINRA by calling the FINRA BrokerCheck Hotline at 800-289-9999 or by viewing FINRA BrokerCheck online at finra.org. A brochure describing the FINRA BrokerCheck Program is also available from FINRA upon request.
back to topQuestions and Complaints
You may direct any complaints you may have concerning your relationship with SBSS to: SunGard Brokerage & Securities Services LLC, 545 Washington Blvd, 7th Floor, Jersey City, New Jersey, 07310 Attn: Compliance Department or you can contact the Compliance Department at 201-356-1400.
back to topStatement of Financial Condition (unaudited) June 2011
Download Statement of Financial Condition (unaudited) June 2011 here.
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