|
|
 |
| |
|
Home > Financial Services > Stock Brokers > Wyoming Financial Securities, Inc.
Wyoming Financial Securities, Inc.
Wyoming Financial 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.
Wyoming Financial Securities, Inc. was incorporated as a Wyoming business corporation in 1983. In 1990, the shareholders of Wyoming Financial Securities, Inc. exchanged their stock for shares of WFS, Inc. As with all Wyoming Financial Companies, 100 percent of the stock of Wyoming Financial Securities, Inc. is owned by WERCS. Wyoming Financial Securities, Inc. is a full service securities firm involved in the sale of various security products including, but not limited to, stocks, bonds, mutual funds, investment contracts, insurance and annuities. The firm has a correspondent relationship with Pershing Securities to facilitate its securities transactions. In addition to the sale of security products, the company is also engaged in the business of underwriting municipal securities.
Wyoming Financial Securities recognizes your concerns regarding the privacy of your personal information. Protecting your privacy is highly important to them and they have adopted a policy regarding how the information you share with them is used and maintained. They collect formation to serve their customers and to fulfill regulatory requirements. At the present time, they share information with no other entities. At Wyoming Financial Securities your personal information is held in strict confidence. A complete copy of their Privacy Policy including an opt-out form may be obtained by contact the company.
Wyoming Financial Securities maintains a business continuity plan, including redundant data centers and alternate processing facilities, to address interruptions to their normal course of business. These plans are reviewed annually and updated as necessary. The Securities and Exchange Commission requires Wyoming Financial Securities to make publicly available reports on their order routing practices. Wyoming Financial Securities directs orders to its clearing broker, Pershing, a division of Pershing Trading Company, for routing and execution.
Wyoming Financial Securities inform their customers, before the account is opened, about the new customer identification requirements. This notice, produced by the NASD, answers some questions about why Wyoming Financial Securities is now required to collect and maintain certain information regarding the identity of their clients.
Financial Services Companies
all are here at FinancialBrowsers.com Permission is granted to reproduce this article as long as the above resource paragraph is left intact with active links.
Back to Stock Brokers
|
|
|
|
|
|
|