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Home > Financial Services > Stock Brokers > Reid And Associates, Llc.

Reid And Associates, Llc.

Reid And Associates, Llc is a member of NASD, 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.

The firm is committed to your financial well being, and protecting the privacy and security of the information you share with us is part of that commitment. You trust them with your personal and financial information, and they will honor that trust by using your information carefully and sensibly. This notice will help you understand how they safeguard and use information.

They continually update and improve their security standards and procedures to help them protect against anyone gaining unauthorized access to your confidential information, including through the Internet. Additionally, they build checks and balances into procedures when opening accounts. Only those persons who need to do so as part of their job responsibilities are authorized to have access to your information. Their employees are trained on privacy and information security, and on their obligations to protect your information.

Their response to external disruptions relies more heavily on other organizations and systems, especially on the capabilities of their clearing firm, First Clearing, LLC.

Their firm does not maintain custody of customers’ funds or securities, which are maintained at their clearing firm. If telephone service is available, their registered persons will take customer orders or instructions and contact their clearing firm on their behalf through other methods such as fax or email with their clearing firm.

Reid & Associates, LLC has designated back-up facilities and arrangements with its clearing firm and other vendors in case of either an internal or external SBD. These facilities and arrangements include the use of telephone, fax, secure email, and internet access to electronic records.

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