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Home > Financial Services > Stock Brokers > Independence Capital Co., Inc.
Independence Capital Co., Inc.
Independence Capital is a member of the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Independence Capital Company is a financial planning and securities brokerage firm dedicated to achieving financial independence for each of its clients. Financial independence means choices, freedom, strength, and dignity. It means building the kind of lifestyle you want for yourself and your family. It means having the freedom to make worry-free career changes. It means living with dignity in your old age. As a financial planning firm, their first responsibility is to their clients. Their responsibility is to work in their best interests and maintain objectivity in recommending a course of action that will help them achieve their goals.
In 1999 Congress passed the Gramm-Leach-Bliley Act in an effort to modernize the American financial markets. In connection with the financial marketplace, the GLBA established standards for how financial institutions must protect the privacy of consumer financial information. Under the GLBA, the definition of financial institutions includes investment advisors. As an investment advisor Independence Capital Co is subject to the provisions of the GLBA and is committed to protecting the privacy of all their clients’ nonpublic personal financial information. In short, their business continuity plan is designed to permit their firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. their 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 their customers prompt access to their funds and securities if they are unable to continue their business.
While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, they have been advised by their 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 minimal amount of time it takes to reconnect to alternate location via back up data lines. Your orders and requests for funds and securities could be delayed during this period.
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