8150 North Central Expressway, Suite 500
Dallas, TX 75206 (Directions)
(214) 265-1201 (877) 959-8400

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Although there is no way to guarantee return on a particular investment or protection from market fluctuation, there are ways that investors' accounts are protected. 

1) Insurance in case of liquidation - Securities are offered through 1st Global Capital Corp., FINRA, SIPC*. If a securities firm is forced to liquidate, the Securities Investor Protection Act of 1970 provides for insurance coverage to distribute funds and securities owed to investors.

Securities in accounts carried by National Financial Services LLC ("NFS"), a Fidelity Investments company, are protected in accordance with the Securities Investor Protection Corporation ("SIPC") up to $500,000 (including up to $100,000 for cash awaiting reinvestment). NFS also has arranged for coverage above these limits. Neither coverage protects against a decline in the market value of securities, nor does either coverage extend to certain securities that are considered ineligible for coverage. For more details on SIPC, or to request a SIPC brochure, visit www.sipc.org or call 1-202-371-8300.

2) Errors and omissions coverage - Our Financial Advisors carry insurance for covered negligent acts, and errors or omissions in conducting financial services. The policy covers up to $1 million for each wrongful act and $5 million in aggregate for the policy period.

How is client privacy protected?
1st Global Capital Corp., our affiliates and the entire securities industry go to great lengths to protect the privacy of clients’ personal financial information. The high marks investors give firms for their services reflect a simple business reality: by putting the interests of our customers first and helping them to succeed, we, in turn, do well.

We think that our ability to share financial information within our company enables us to more effectively serve our customers in several ways. By knowing about investors’ finances and goals, we are better informed to make suitable investment recommendations. That said we understand the value and importance of keeping our clients’ information secure. When customers open accounts, we tell them about our own privacy protections and the different federal laws that also provide safeguards.

Read our complete Privacy Policy (Adobe Acrobat file. )