Associated Securities Corp. is committed to supplying clients with the information they need to make informed investment decisions. In this section you will find important information that you may wish to consider when making investments with your Associated Securities Financial Advisor. This information will be updated from time to time.
Click here for our privacy policy
Click here for our revenue sharing disclosure
Click here for our anti money laundering notice
Associated Securities Corp has developed a Business Continuation 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.
Contacting Us - In the highly unlikely event that you cannot contact us at our regular telephone numbers (310) 670-0800 or (800) 284-2747, you should visit our website at http://www.associatedsecurities.com. Normally, our telephone numbers will have a recorded message indicating that we are operating under an emergency situation as well as an emergency contact telephone number: (310) 670-1309. You may also contact your financial adviser at his or her regular telephone number. If you cannot access us through any of those means, you should contact our clearing firm, Pershing, at (201) 413-3635 or at http://www.pershing.com, for instructions on how Pershing may provide you with access to your securities and cash in your Pershing account.
Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, Pershing, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within approximately four hours. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within approximately four hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within approximately one day. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, (310) 670-1309 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.
For more information - If you have questions about our business continuity planning, you can email us at info@afgweb.com, or you may call us at (310) 670-0800.
SEC Rule 11Ac1-6 - Disclosure of Order Routing Practices
Pershing LLC ("Pershing") has provided the data on this website on behalf of your introducing financial organization. The data represents only those orders that have been routed by your introducing financial organization through Pershing for execution. Although Pershing has used commercially reasonable efforts to provide accurate information, the data is provided to you on an "as is" basis.
To access our data, visit http://www.orderroutingdisclosure.com and enter ASSOCIATED SECURITIES CORP. in the Broker Dealer Full Name Box.