Because of the possibility of human and mechanical error as well as other factors, Finance 500 and its affiliates are not responsible for any errors in or omissions from the information contained in or accessed through this Site. All such information is provided “as is” without warranty of any kind. Finance 500 and its affiliates make no representations and disclaim all express, implied and statutory warranties of any kind to the user and/or any third party, including any warranties of accuracy, timeliness, completeness, merchantability and fitness for any particular purpose. Unless due to willful tortuous misconduct or gross negligence, Finance 500 and its affiliates shall have no tort, contract or any other liability to user and/or any third party. Finance 500 and its affiliates shall under no circumstance be liable to user and/or any third party for any lost profits or lost opportunity, indirect, special, consequential, incidental or punitive damages whatsoever, even if Finance 500 has been advised of the possibility of such damages.
Some U.S. states and foreign countries provide rights in addition to those above or do not allow the exclusion or limitation of implied warranties or liability for incidental or consequential damages. Therefore, the above limitations may not apply to you, or there may be state provisions which supersede the above. Any clause of this Disclaimer declared invalid by the appropriate authority shall be deemed severable and shall not affect the validity or enforceability of the remainder. The terms of this Disclaimer are governed by the laws of the State of California and may only be amended in a writing signed by Finance 500.
Important Information About Procedures for Opening a New Account
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.
Finance 500, Inc. collects nonpublic information from the following sources:
• Information we receive from you or those you authorize on applications or other forms;
• Information relating to your transactions with us or others;
• Information which may be received from other sources with your consent or with the consent of your introducing broker.
It is our policy that no representative or affiliated individual disclose any nonpublic personal information to anyone, except as permitted or required by law. Finance 500, Inc. does not sell your personal information
Furthermore, Finance 500, Inc. restricts access to personal and account information to those employees who need to know that information to provide products or services. Finance 500, Inc. maintains physical, electronic, and procedural safeguards to guard nonpublic information.
Additionally should a client decide to close their account(s) or become an inactive customer, we will adhere to the privacy policies described in this notice.
Finance 500, Inc.
Attn: Compliance Department
19762 MacArthur Blvd., Suite 200
Irvine, CA 92612
Business Continuity Plan
Securities industry regulations require that brokerage firms inform their clients of their plans to address the possibility of a business disruption that potentially results from power outages, natural disasters, or other events. Finance 500., Inc. has a comprehensive business continuity program in place, which we review and update annually.
Finance 500, Inc., 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.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (800) 477-6266, you should go to our web site at http://www.finance500.com. If you cannot access us through either of those means, you should contact our clearing firm, COR Clearing Corporation, at (214) 765-1100, for instructions on how it may provide services.
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, given the scope and severity of the significant business disruption.
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.
For more information – If you have questions about our business continuity planning, you can contact us at (800) 477-6266
Finance 500, Inc is a FINRA Member Firm
The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,000 brokerage firms, about 172,000 branch offices and more than 676,000 registered securities representatives.
Finance 500, Inc is a SIPC Member Firm
Customers can obtain information about SIPC (including the SIPC brochure) by contacting SIPC by phone at
(202) 371-8300 or by going to the SIPC website http://www.sipc.org.
Copyright 1998-2014 Finance 500 Inc.
19762 MacArthur Blvd. #200, Irvine, CA 92612
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THIS PUBLICATION COULD INCLUDE TECHNICAL INACCURACIES OR TYPOGRAPHICAL ERRORS. CHANGES ARE PERIODICALLY ADDED TO THE INFORMATION HEREIN; THESE CHANGES WILL BE INCORPORATED IN NEW EDITIONS OF THE PUBLICATION. FINANCE 500, INC. MAY MAKE IMPROVEMENTS AND/OR CHANGES IN THE PRODUCT(S) AND/OR THE PROGRAM(S) DESCRIBED IN THIS PUBLICATION AT ANY TIME.