Order Routing Disclosure
RBC Correspondent Services Order Routing
To view the Order Routing for RBC Correspondent Services View Here. Once you click on this link, it will bring you to the RBC page title “SEC Order Handling Disclosure”. To view the TAG report, click on the “Order Handling Disclosure Report” link at the bottom of the page. Once this page opens up in the “Company” drop down box, select “RBC Correspondent Services, a division of RBC Capital Markets, LLC — dcsd” then select the time period you wish to view.
Business Continuity Plan Summary
Capital Financial Holdings, Inc., (“Company”) has established a formalized Business Continuity Plan to be implemented in the wake of a natural or man-made disaster. Such disasters might include, but are not limited to fire, tornado, flood, earthquake or chemical spill. The Company’s policy is to respond to disasters by safeguarding employees’ lives and Company property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Company’s books and records, and allowing customers to transact business. The Company has made provisions and has established procedures to ensure the continuance of business within a predetermined “reasonable” period of time.
The Company’s Business Continuity Plan is reviewed regularly and is subject to change. Any updates to this summary will be promptly posted to the Company’s websites. Customers may obtain updated summaries at no cost by written request or by calling (877) 814-6379.
Capital Financial Services Corporation understands your concerns about guarding information about you and your account(s) and considers the privacy of our clients to be of fundamental importance. We have established the following standards to safeguard the personal and confidential information you entrust to us.
- Collection of Information
While we do not sell any nonpublic personal information about our customers to third parties, we do collect and retain such information about you including:
- Information from applications or other forms, such as you and your spouse’s names, occupations, street address and social security numbers;
- Information regarding your financial position, investment experience and objectives; and
- Information about your transactions with us, our affiliates, or others, such as your account balance and transaction detail.
- Disclosure of Information
Disclosure of nonpublic personal information to affiliates is often necessary to conduct our business. We have also disclosed such information to third parties as permitted by law. Some instances when we have provided information to nonaffiliates include:
- Disclosing information necessary to process and service account transactions that you authorize;
- Disclosing your name and address to third parties who assist with mailing product-related materials; and
- Disclosing information as required by regulatory or law enforcement agencies or with others as permitted by law.
- Confidentiality and Security
We maintain physical, electronic and procedural safeguards to ensure the integrity of your personal information.
- Limited Access to Information
Access to your nonpublic personal information is limited to authorized employees, affiliates and third parties. The information will then only be used for authorized purposes such as maintaining or servicing your account(s) or as otherwise permitted by law.
- Further Information
The Securities Investor Protection Corporation (SIPC) protects customers if their brokerage firm fails. Brokerage firm failures are rare.
If it happens, SIPC protects the securities and cash in your brokerage account up to $500,000. The $500,000 protection includes up to $250,000 protection for cash in your account to buy securities.
SIPC protection is only available if your brokerage firm fails and SIPC steps in. You must file a claim to receive protection from SIPC. SIPC’s ability to satisfy your claim is limited by law.
For further information, go to www.sipc.org.