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Clearing/SIPC/FINRA

Funds in our client’s accounts are protected by Windsor Street Capital, our clearing agent COR Clearing and by Securities Investor Protection Corporation (SIPC). Windsor Street Capital is a member of Financial Industry Regulatory Authority (FINRA) and SIPC.

clearing

COR Clearing is an independent full-service clearing and settlement firm focused on the success of their broker-dealer clients. COR Clearing provides technology, administrative services and product offerings through multiple customized platforms in order to allow correspondents to focus on growing their businesses. In addition, they provide introductions to capital providers, issuers, compliance, capital markets specialists along with other front and back-office functions.  COR Clearing’s goal is to reduce settlement, compliance and legal risks to their correspondents.

COR Clearing began as part of the Mutual of Omaha and evolved into the independent execution, clearing, settlement and custody platform known as Legent Clearing. In 2011, Legent was acquired by COR Securities Holdings Inc. and in 2012 became COR Clearing LLC.

COR Clearing’s parent, COR Securties Holdings Inc., is led by a group of executives and industry leaders, including the former Chairman of Pershing, a former Senior Managing Director of Bear Sterns Clearing, the former Financial Services Group President at ADP Clearing, and the former President of Sterne Agee Clearing. For more information on COR Clearing please visit www.corclearing.com.

Windsor Street Capital and COR Clearing are also members of the Securities Investor Protection Corporation (SIPC), which protects against the loss of cash and securities held by a customer in SIPC member brokerage firm.  The limit of SIPC protection is $500,000, which includes a $250,000 limit for cash. SIPC does not protect against the decline in value of your securities.

Windsor Street Capital is also a member of FINRA, which provides the first line of oversight for broker-dealers and the first line of defense for investors by virtue of its comprehensive oversight program. FINRA regulates both the firms and professionals selling securities in the United States and the U.S. securities markets. FINRA writes and enforces its own rules, as well as enforcing federal securities rules and laws.