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Vining Sparks

Vining Sparks 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.

Vining Sparks is nationally recognized as a leading broker dealer in serving the investment needs of institutional investors. The firm was started in 1981 by Jim Vining to serve the investment and asset needs of community banks.

The Vining Sparks’ trading desk is able to structure and bring new securities to market for agencies of the U.S. government. By being able to tailor these securities to customers’ needs, the firm is consistently ranked as one of the country’s top 20 underwriters of newly issued agency debt.

They know that, as their customer, they believe that protecting your privacy is extremely important and they want to be sure that they maintain client’s confidence and trust. They collect nonpublic information from you on the account application and related account documentation as well as from trade records.

They may share this information about you with their clearing agents in order to deliver or receive the securities you have transacted with them. They do not otherwise disclose any nonpublic personal information about their customers or former customers to anyone, except as required by law.

They restrict access to nonpublic information about you to those employees who need to know that information in order to provide products or services to you as you have instructed them.

The firm has developed an in-house computer system that continually monitors all customer portfolios. This real-time system is able to alert customers to any number of situations that they need to be aware of. Examples include bonds that have been called, bonds with timely news updates, and other strategy-related issues. They are very active in providing investment education to its current and prospective customer base. Each year, the firm holds dozens of seminars in various locations across the country.

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