Member

Compliance Department

Firm's Relationship with RBC CS

SIPC & Additional Coverage for Client Accounts

Legal Notices - DISCLAIMER

Public Disclosure

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Compliance & Legal Notices

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Privacy Policy

Business Continuity Plan

SEC Rule 605

SEC Rule 606

SIPC Website

FINRA Website

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Member

Financial Industry Regulatory Authority (FINRA), National Investment Bankers Association (NIBA), Securities Investor Protection Corporation (SIPC), National Traders Association (NTA).

 

Compliance Department

Paulson Investment Company, LLC's Compliance department is staffed by professionals experienced in all aspects of the securities industry. Their well-established policies and procedures assure both broker and investor that all activities conducted by the firm conform to established rules and regulations, and meet the highest standards.

Firm's Relationship with RBC CS

Our firm has a contractual agreement with RBC Correspondent Services (RBC CS) to serve as our clearing firm. This fully disclosed agreement states the responsibilities of each party. Prior to the agreement becoming effective, RBC CS is responsible for making all disclosures to our firm's designated examining authority as required by NYSE Rule 382. Each client of our firm is notified of the relationship via a disclosure letter. The disclosure letter details the responsibilities that our firm (the introducing broker-dealer) and RBC CS (the clearing firm) have to the client. Although client assets are held by RBC Capital Markets, LLC, neither RBC Capital Markets, LLC, nor RBC CS has responsibility for the financial condition or performance of our firm or our Financial Advisors.

SIPC & Additional Coverage for Client Accounts

 

RBC Capital Markets, LLC, has purchased an additional policy that offers coverage in excess of the protection provided by SIPC. This coverage covers additional securities and cash protection up to $99.5 million per client, of which $900,000 may be in cash. A $400 million aggregate limit applies to this additional coverage.

 

RBC Capital Markets, LLC, also offers protection if a client’s securities are missing because of theft by an outsider, computer fraud or theft by an employee for personal gain. In such cases, the firm’s CAN$310 million Financial Institution Bond coverage would cover the client’s losses, subject to that policy’s terms, conditions and limits.

 

Note: Neither SIPC protection, nor protection in excess of that offered by SIPC, covers a decline in the value of a client’s assets due to market loss.

Legal Notices - DISCLAIMER

The contents of this site are for informational purposes only and are not to be construed as an offer to sell or a solicitation to buy any securities. Such offers can only be made where lawful under applicable law. The contents of this site have been compiled from sources which we believe to be reliable, but are not guaranteed. Paulson Investment Company, LLC does not warranty, guarantee or make any representations, or assume any liability with regard to financial results based on the use of information in the site.

 

Paulson Investment Company, LLC may make a market in certain securities in this site. These markets may, however, be discontinued without notice. Individuals associated with Paulson Investment Company, LLC, its officers and/or directors may hold shares in certain securities mentioned on this site and may increase or decrease such holdings without notice. Persons mentioned in this site may only transact business in states in which they have been properly registered or are exempt from registration. U.S. investors should be advised that not all investments discussed in this site may be available in all states. In no event shall party for any damages of any kind arising out of or relating to the use of this site or its contents, including, but not limited to, any lost profits, lost opportunity, special, incidental, indirect, consequential or punitive damages, even if Paulson Investment Company, LLC has been advised of the possibility of such damages.

 

Paulson Investment Company, LLC is not liable for any harm caused by the transmission, through accessing the services or information in this site, of a computer virus, or other computer code or programming device that might be used to access, delete, damage, disable, disrupt or otherwise impede in any manner, the operation of the site or of any user's software, hardware, data or property.

 

The use of this website is at your own risk.