The content of this site is intended for general informational purposes only and does not constitute investment advice or a solicitation for the purchase or sale of securities or financial instruments. FGC Securities, LLC provides wholesale brokerage services to institutional clients only. It does not provide services to retail clients.
FGC Securities LLC (“FGC”), pursuant to Financial Industry Regulatory Authority (“FINRA”) rules, has created and maintains a Business Continuity Plan to address and guide the response to and recovery from, Significant Business Disruptions (“SBDs”). In all SBD situations, FGC plans to continue business according to planned recovery times. Copies of the Business Continuity Plan Summary Disclosure Statement shall be given to all clients at the time they open an account with FGC. FGC’s Business Continuity Plan is subject to modification and updates to the summary will be promptly emailed to its clients. Alternatively, clients may obtain a current summary by contacting FGC at compliance@fgcsecurities.com.
FGC Securities, LLC is an introducing broker and does not carry customer accounts or perform clearing operations.
FGC Securities, LLC recognizes the importance of protecting the privacy of its clients and handling non-public information with care. Accordingly, we have established the following Policy.
Confidentiality and Security of Your Information
We maintain appropriate physical, electronic, and procedural safeguards to protect the security and confidentiality of
your nonpublic personal information. We educate our employees about the terms of this Notice and the importance of
customer privacy. We restrict access to nonpublic personal information about you to those employees and others who
need to know that information to provide services to you, to maintain your accounts, or conduct our business.
Information We Collect About You
Collecting information from you is essential to our ability to offer quality services. As part of that process, we may collect nonpublic information about you from the following sources:
- Information we receive from you on applications and other forms;
- Information about your transactions with us;
- Based upon the services provided, information we receive from consumer reporting agencies, government agencies and from your agent banks and prime brokers where applicable; and
- Information that is used to facilitate emails from you.
Categories of Information We Disclose and to Whom
We do not disclose any information about our clients or former clients to anyone, except as permitted or required by law. We may disclose the types of information listed below to companies that help us conduct our business, that perform administrative or others services on our behalf, or other financial institutions with which we now or may have joint marketing agreements:
- Information we receive from you on applications and other forms, such as your name, address, Social Security number (if an individual), assets, income and beneficiaries;
- Information about your transactions with us, or others; and
- Information we receive from a consumer reporting agency, government agencies and from your agent banks
and prime brokers where applicable, and from other sources, such as information concerning credit worthines and history, and certain information requested pursuant to US Patriot Act anti-money laundering prevention rules and regulations.
Anti-Money Laundering Program
As set forth under the U.S. Patriot Act, federal law requires that all financial institutions establish and maintain an Anti-Money Laundering Program (“AML”) and to obtain, verify and record information that identifies each person or company that opens an account. Accordingly, when opening an account with FGC Securities, LLC, we will ask for the full legal name of your entity, address, tax identification number and other information that will allow us to identify you. We may also request to see your articles of incorporation, partnership agreement or other identifying documents.
