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Home > Financial Services > Stock Brokers > NFP Securities, Inc.
NFP Securities, Inc.
NFP 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.
NFP Securities, Inc. is a registered broker dealer and investment advisor. Through their network of over 1000 independent registered representatives nationwide, they provide a variety of investment and insurance products and services to meet the needs of their clients.
The Company is committed to a successful relationship with each of their clients. They believe a foundation of that relationship is a mutual understanding of the responsibilities they each have to promote the success of that relationship.
The Company is committed to providing timely service to their clients. It is an introducing broker/dealer and, as such, they rely on their correspondent clearing firms to perform certain functions on their behalf, including the execution of securities transactions and the maintenance of customer funds and securities. Their ability to respond to certain business disruptions is partially dependent on their clearing firms.
As you may know, your broker/dealer and National Financial Services LLC have an agreement in which they may provide trade execution, clearing, and other related services for your brokerage account. In connection with these services, they are required to communicate its position on business continuity practices. They recognize how heavily you and your broker/dealer rely on their systems and services. They also recognize that the unexpected can and does occur from simple situations to major outages.
The Company has successfully supported critical business activities during disruptions of normal business processes resulting from hurricanes, tornados, blizzards, and other natural and man-made disasters. They want you to know that they have an extensive plan in place to safeguard your assets and protect vital account information in the event of a business disruption.
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