Disclosures
General Legal Disclosure Information
America’s Choice Equities, LLC, is a FINRA registered securities broker-dealer registered in AL, AZ, AR, CA, CO, CT, DE, FL, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, SC, SD, TX, UT, VT, VI, WA, WV, WI and WY. This web site is published in the United States for residents of the United States. America’s Choice Equities, LLC is a member of the Securities Investor Protection Corporation (SIPC).
America’s Choice Equities’ representatives may only conduct business with residents of the States and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Investors outside the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site. Products and services mentioned in this web site may not be available in all states. To request information, contact your America’s Choice Equities, LLC investment professional. America’s Choice Equities, LLC is not soliciting business in any state or international jurisdictions where it is not registered. No statement within the website should be construed as a recommendation to buy or sell a security or to provide investment advice.
Neither America’s Choice Equities nor its Registered Representatives are engaged in rendering legal, accounting or tax advice. If legal, accounting or tax assistance is required, the services of a competent professional should be sought. The hiring of a professional is an important decision and should not be based upon advertising. Ask for written information stating qualifications, experience and firm association before making a decision.
Links to third-party sites are provided for your convenience. Such sites are not within our control and may not follow the same privacy, security or accessibility standards as ours. The third-party is responsible for the content and availability of its sites, partners or advertisers.
The information provided on this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject America’s Choice Equities, LLC or its affiliates to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site constitutes a solicitation or offer by America’s Choice Equities, LLC or its affiliates to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or service.
America’s Choice Equities, LLC does not accept buy, sell, cancel orders or any instructions that would require your signature by e-mail, voicemail or via this website.
Disclaimer of Warranty and Limitation of Liability
The information on this site is provided “AS IS”. America’s Choice Equities, LLC does not warrant the accuracy of the materials provided herein, either expressed or implied, for any particular purpose and expressly disclaims any warranties of merchantability or fitness for a particular purpose. America’s Choice Equities, LLC will not be responsible for any loss or damage that could result from interception by third parties of any information made available to you via this site. Although the information provided to you on this site is obtained or compiled from sources we believe to be reliable, America’s Choice Equities, LLC cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose. Neither America’s Choice Equities, LLC, nor any of its affiliates, directors, officers or employees, nor any third party vendor will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this site, or resulting from the act or omission of any other party involved in making this site or the data contained therein available to you, or from any other cause relating to your access to, inability to access, or use of the site or these materials, whether or not the circumstances giving rise to such cause may have been within the control of America’s Choice Equities, LLC or of any vendor providing software or services support. In no event will America’s Choice Equities, LLC, its affiliates or any such parties be liable to you for any direct, special, indirect, consequential, incidental damages or any other damages of any kind even if America’s Choice Equities, LLC or any other party has been advised of the possibility thereof.
Should the viewer leave this site via a link contained herein, and view content that is not provided by America’s Choice Equities, LLC, the viewer does so at its own risk. The content to which you link will not have been developed, checked for accuracy or otherwise reviewed by America’s Choice Equities, LLC. America’s Choice Equities, LLC is not responsible for damages or losses caused by any delays, defects or omissions that may exist in the services, information or other content provided in such site, whether actual, alleged, consequential or punitive. America’s Choice Equities, LLC makes no guarantees or representations as to, and shall have no liability for, any electronic content delivered by any third party, including, without limitation, the accuracy, subject matter, quality or timeliness of any electronic content.
America’s Choice Equities Business Continuity Planning
America’s Choice Equities has developed a Business Continuity Plan to address how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are 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 are unable to contact us as you usually would at (800) 610-8202 or (561) 882-3388, you should view our website at www.americaschoiceequities.com for additional information.
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.
Our clearing firm Legent Clearing backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a day. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions – Significant business disruptions can vary in their scope, such as events that affect only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 24 hours. In either situation, we plan to continue in business, transfer operations and notify you through our web site: www.americaschoiceequities.com. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.
For more information – If you have questions about our business continuity planning, you may contact us at (561) 882-3388.
America’s Choice Equities
840 US Highway 1
Suite 315
Palm Beach Gardens, FL 33408
Order Routing Information
America’s Choice Equities, LLC places client orders on a fully disclosed basis through our clearing agreements with Legent Clearing. Pursuant to Rule 606 (formerly SEC Rule 11Ac1-6), to access order flow information, please click Thompson and use the toolbar to view America’s Choice Equities.
Privacy Notice
Keeping customer information secure is a top priority for all of us at America’s Choice Equities, LLC. We are providing you this Privacy Notice to help you understand how we handle the personal information about you that we collect and may disclose.
America’s Choice Equities, LLC provides retail securities brokerage services to clients who work with our Registered Representatives. As such, we receive and maintain information about you related to your account(s).
Where we get information. The information we collect about you comes primarily from your Registered Representative who handles your account(s). This includes such information as your name, address, Social Security number and other financial information that you may have provided on applications, agreements or other forms. In addition, we may obtain information from nonaffiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process. We provide information about current or former clients of our Registered Representatives from the sources described above to parties outside of America’s Choice Equities, LLC only as described below:
To companies with whom we have contractual agreements. A contractual agreement is one in which another financial institution offers a product or service jointly with America’s Choice Equities, LLC, such as providing Legent Visa card access to your account. These institutions are prohibited by agreement from using information about you except for the narrow purpose for which we provided it to them.
To other companies as necessary to process your business. For example, we transmit your account and transactional information to a company that prints your Legent account statements. Third parties in this category, like those in the category above, must limit their use of the information to the purpose for which it was provided or where required by law or regulation. Examples include responses to a subpoena, court order or regulatory demand.
As authorized by you. For example, upon written request, you may direct us to send your account statements and trade confirmations to a third party.
As otherwise authorized or permitted by law. For example, the law permits us to respond to a request for information about you from a consumer-reporting agency.
Confidentiality and security. We restrict access to information about you to those employees and authorized agents who need to know that information in order to provide products or services to you. We have security practices and procedures in place to prevent unauthorized use or access to your Nonpublic Personal Information. Internally, your information is available to employees requiring access to the information for various business purposes, such as processing or servicing transactions, and those fulfilling compliance, legal or audit functions. Our computer systems utilize password protection to prevent access by unauthorized personnel and we employ other physical, electronic and procedural safeguards to ensure the protection of your Nonpublic Personal Information in accordance with state and federal privacy regulations.
USA Patriot Act Notice. Customer Identification Program
To help the U.S. 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 opening an account.
What This Means to You. When you open an account with our Firm, we will ask for your name, address, date of birth and other information which will allow us to establish your identity. We may also ask to see your driver’s license or other identifying documents. All personal information that you provide to us is confidential as outlined within our Privacy Policy.
Account Protection
SIPC & Additional Coverage for Client Accounts. Legent Clearing LLC, which is America’s Choice Equities’ clearing firm, is a member of the Securities Investor Protection Corporation (SIPC). SIPC is a nonprofit membership corporation funded by its member security broker-dealers. SIPC protects the securities clients of its members in the event of the failure of a member firm. SIPC reimburses clients the cash value of their securities up to $500,000 per client. Any cash in a client’s account would be reimbursed by SIPC up to $100,000 (reducing the $500,000 above).
Legent Clearing’s policy through Lloyd’s of London provides additional account coverage up to $24.5 million (including up to $900,000 in cash) per client as defined by SIPC rules. With both SIPC and Lloyd’s of London coverage, accounts are protected up to a total of $25 million per client (as defined by SIPC rules) including up to $1 million for cash balances.
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. Additional information is available upon request or at www.sipc.org.
Legent Clearing, LLC, Member FINRA, SIPC
9300 Underwood Avenue, Suite 400
Omaha, Nebraska 68114-2685
Phone: (402) 384-6101
www.legentclearing.com