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Oc Securities, Inc.


Oc Securities, Inc 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.

Oc Securities stands out from other on-line discount brokerage firms. The firm was developed by retail stockbrokers with more than 20 years of experience in the retail sector. They realized that there was a need for a full service stockbrokerage firm that offered discount on on-line trades.

An independent brokerage owned and operated by retail trained stockbrokers who understand the client is the firm's lifeblood and not just a number.

Here a client can call or email with any problem, question, or issue and have a real stockbroker on the other end.

A Business Continuity Program is a program that they have designed to help ensure that they can continue to do business even if they experience an unplanned business interruption such as a loss of a utility service, a building evacuation, or even a catastrophic event.
 
Oc Securities strive to ensure that their systems are secure and that they meet industry standards. They protect personal information that is provided to them by their clients and this is done by maintaining physical, electronic and procedural safeguards that either meet or exceed applicable law.
 
Where appropriate, they even employ firewalls, encryption technology, user authentication system which includes passwords and personal identification numbers and access control mechanisms to control access to systems and data. Third parties who may have access to such personal information must also agree to follow appropriate standards of security and confidentiality.

Oc Securities, Inc. carries your account as the introducing broker-dealer in conjunction with Penson Financial Services, Inc. Here they understand that privacy is an important issue for their customers. It is their policy to respect the privacy of all accounts that they maintain as introducing broker-dealer and to protect the security and confidentiality of nonpublic personal information relating to those accounts.

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