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Home > Financial Services > Stock Brokers > Goodwin Browning & Luna Securities
Goodwin Browning & Luna Securities
Goodwin Browning & Luna Securities 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.
Goodwin Browning & Luna Securities provides comprehensive, expert and objective financial advice and management to individuals and families. They are a general securities broker or dealer and a Registered Investment Advisor. The firm’s policy is to respond to a Significant Business Disruption (SBD) 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. In the event they determine they are unable to continue our business, they will assure customers’ prompt access to their funds and securities.
The firm plan anticipates two types of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in their building. External SBDs prevent operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. The firm response to an external SBD relies more heavily on other organizations and systems.
In the event of an internal or external SBD, if telephone service is available, registered persons will take customer orders or instructions and contact NFS on their behalf. If Internet access is available, their firm will post on their website that customers may access their funds and securities by contacting the firm at their contingency site. If Securities Investors Protection Corporation (SIPC) determines that they are unable to meet our obligations to their customers or if their liabilities exceed their assets in violation of Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee to disburse our assets to customers. They will assist SIPC and the trustee by providing our books and records identifying customer accounts subject to SIPC regulation.
GBL has always been considered the protection of sensitive information to be a sound business practice and a foundation of customer trust. They employ extensive information protection controls in keeping with industry standards and practices, and they regularly adapt these physical, electronic and procedural controls to respond to changing requirements.
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