Disclosures

Account Protection

O’Connor & Company Securities is a member of the Securities Investor Protection Corporation (“SIPC.”) SIPC provides coverage up to $500,000 of which a maximum $100,000 applies to cash credit balances.

Our clearing agent, Wedbush Securities, has purchased an excess SIPC bond from Lloyd’s of London, that provides additional coverage for up to $25,000,000 in cash and securities for each client, subject to an aggregate loss limit of $100,000,000. This bond covers cash credit balances to a maximum of $900,000 for a total of $1,000,000 in cash balances.

This coverage does not safeguard against a decline or loss of market value of the securities in your account.

For additional information regarding SIPC coverage, please contact SIPC at their website.

Anti-money Laundering

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

Privacy Policy

At O’Connor & Company Securities, Inc., protecting the privacy of customer information in one of our most fundamental responsibilities.

O’Connor & Company Securities, Inc takes steps to safeguard both current and former customer information. We restrict access to your personal and account information to only those employees who need to know that information to provide products and/or services to you We emphasize the importance of confidentiality through employee training, operating procedures and our privacy policy. We also maintain physical, electronic and procedural safeguards that comply with federal standards to guard your non-public personal information.

O’Connor & Company may collect non-public personal information about you from the following sources:

  • Your account opening documentation, applications or other forms, which include name, address, phone number social security number and date of birth
  • Your transactions with our affiliates, others or us
  • Information from non-affiliated third parties, such as credit history
  • Information for special services offered by a third party, such as bill payment requests

O’Connor & Company may disclose your non-public personal information, as described above, to an affiliated third party, including investment advisers and banks. We may also disclose the above information to non-affiliated third parties to assist us in servicing your account, such as a clearing agent, a transfer agent, an issuer, etc. In addition, we may disclose your non-public personal information to securities regulators upon request, to others pursuant to a subpoena and as otherwise permitted by law. Should you at any time close your account with us we will continue to adhere to our privacy policies and practices.
Please contact your registered representative for a complete copy of our Privacy Policy.

Business Continuity

O’Connor & Company Securities, Inc. (O’Connor & Company) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

If after a significant business disruption you cannot contact us as you usually do, you should call our alternative number (949) 413-6194. If you cannot access us through either of those means, you should contact our clearing firm, Wedbush Morgan Securities, at (213) 688-4574 or click here for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions.

Please contact your registered representative for a copy of our complete Business Continuity Plan.

Clearing Arrangement

O’Connor & Company Securities is a fully licensed dealer. OCS is a member of FINRA and SIPC. All transactions are cleared on a fully disclosed basis through Wedbush Securities, headquartered in Los Angeles, California.

Order Routing/Best Execution

O’Connor & Company does not receive payment for order flow.

For quarterly reports on order routing of equity orders, please visit the website of our clearing agent, Wedbush Securities, by clicking here. Upon written request, OCS will provide the market center location to which your specific order was routed for execution, and/or a copy of the quarterly reports.

FINRA Broker Check Hotline

The Financial Industry Regulatory Authority, Inc. offers investors information and education through the FINRA BrokerCheck Hotline at 800-289-9999 and FINRA website. Available is an investor brochure that includes information describing FINRA BrokerCheck.

Disclaimers

Terms and conditions

By accessing this website, you are agreeing to the following terms and conditions. Please be aware that such terms and conditions may change without notice. No portion of this website should be considered to be an offer to purchase or sell any security or a recommendation to purchase or sell any security. O’Connor & Company does not provide investment or tax advice of any kind.

Accuracy of Information

The content of this website has been compiled from sources deemed to be reliable, however, no guarantee of accuracy is provided.

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Proprietary Information

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