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. 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. On an annual basis, the Compliance Department will instruct Finance 500’s Clearing Firm 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, please contact
Finance 500, Inc.
Attn: Compliance Department
19762 MacArthur Blvd., Suite 200
Irvine, CA 92612
800-477-6266
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, Penson Financial, 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.
This website is for your information only and should not be considered a solicitation or offering of any investment products or services, nor is it a recommendation to buy any securities or enter into any transaction or financing. Past performance is no guarantee of future returns. Investors must consult their own legal, tax, accounting and other professionals prior to making any determination as to whether to invest in any securities or enter into any transaction of financing to which this website relates.
