Privacy Policy

Finance 500 Inc. Privacy Policy

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 we do not 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.

In addition to providing this privacy policy at the time you open an account, on an annual basis, the Compliance Department will instruct Finance 500’s clearing firm, RBC Correspondent Services, a division of RBC Capital Markets, LLC, to send copies of this policy to all clients.

Finance 500, Inc. reserves the right to make changes to this policy. For more information relating to Finance 500’s privacy policy, or if you have any complaints regarding your broker or services received, please contact:

Finance 500, Inc.
Attn: Compliance Department 584 Wald
Irvine, CA 92618 949-253-4000

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, or other information that will allow us to identify you.

FINRA Public Disclosure Information

As a member of the Financial Industry Regulatory Authority (FINRA), and pursuant to FINRA Conduct Rule 2280, Finance 500, Inc., would like to inform you of the availability of a FINRA Investor Brochure that includes information describing FINRA’s BrokerCheck program. The program provides certain information about the disciplinary history of FINRA members and associated personnel. For more information, you can contact the FINRA Regulation BrokerCheck Hotline at (800) 289-9999 or you can visit the FINRA web site at www.finra.org.

SIPC Disclosure

Customers can obtain information about the Securities Investor Protection Corporation (SIPC), including the SIPC brochure, by contacting SIPC by phone at (202) 371-8300 or by going to the SIPC website: www.sipc.org.