FINRA / SIPC

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4400 MacArthur Blvd, Suite 850
Newport Beach, California 92660
888.277.1974

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FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. Capital Synergy Partners is a member of FINRA and  SIPC and adheres to all rules and regulations set forth by FINRA. To learn more about FINRA please visit www.finra.org

SIPC

Capital Synergy Partners is a member of the Securities Investor Protection Corporation (“SIPC”), who currently protects securities customers of its members up to $500,000 (including $100,000 for claims for cash).

Our clearing firm, RBC Correspondent Services, is a division of RBC Capital Markets, LLC. RBC Capital Markets, LLC is a member of the Securities Investor Protection Corporation (SIPC). SIPC is a nonprofit membership corporation funded by its member security broker-dealers. SIPC protects the securities clients of its members in the event of the failure of a member firm. SIPC reimburses clients the cash value of their securities up to $500,000 per client. Any cash in a client’s account would be reimbursed by SIPC up to $100,000 (reducing the $500,000 above).

RBC Capital Markets, LLC has purchased an additional policy that offers coverage in excess of the protection provided by SIPC. This coverage covers additional securities and cash protection up to $99.5 million per client, of which $900,000 may be in cash. A $400 million aggregate limit applies to this additional coverage.

RBC Capital Markets, LLC also offers protection if a client’s securities are missing because of theft by an outsider, computer fraud or theft by an employee for personal gain. In such cases, the firm’s CAN$310 million Financial Institution Bond coverage would cover the client’s losses, subject to that policy’s terms, conditions and limits.

Note: Neither SIPC protection, nor protection in excess of that offered by SIPC, covers a decline in the value of a client’s assets due to market loss.

For more information visit http://www.sipc.org or http://www.lloyds.com/ or direct at:

Securities Investor Protection Corporation
805 15th Street, N.W. Suite 800
Washington, D.C. 20005-2215
Tel: (202)371-8300
Fax: (202)371-6728
Email: asksipc@sipc.org