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Home > Financial Services > Stock Brokers > Screaming Eagle Trading, Inc.

Screaming Eagle Trading, Inc.

Screaming Eagle Trading, Inc. is a member of NASD, the National Association of Securities Dealer. 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.

Their firm’s policy is to respond to a Significant Business Disruption by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records and allowing their customers to transact business.

Edwin Restrepo, President and Founder, a registered principal, is responsible for approving the plan and for conducting the required annual review. Their firm maintains copies of its BCP plan and the annual reviews, and the changes that have been made to it for inspection.

Their firm conducts business in equity securities. They are a fully disclosed introducing broker dealer and do not perform any type of clearing function for itself or others. Their firm conducts business in equity securities. The firm will make the information available to customers through their disclosure policy.

They firm rely, by contract, on their clearing firm to provide order execution, order comparison, order allocation, and the maintenance of customer accounts, delivery of funds and securities, and access to customer accounts.

In addressing the events of varying scope, their summary, provides specific scenarios of varying severity states whether they plan to continue business during that scenario and, if so, their planned recovery time provides general information on their intended response. Their summary discloses the existence of back-up facilities and arrangements.

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