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Spencer-Winston Securities Corporation.

Spencer-Winston Securities Corporation 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.

Spencer Winston Securities are extremely sensitive to the necessity of protecting your personal and financial information. They are aware of the requirement to collect personal information relating to you, your account and your investment characteristics. This information is known as non-public personal information. They collect this information from various sources, primary applications and forms completed by you for the company and from third-party providers. They use this information to provide you and your account with the highest level of professional service. Spencer Winston Securities understands your concerns about the use and protection of this personal account information. Spencer Winston Securities are committed to maintaining the highest level of safety and security for information you provide. You will receive a separate privacy notice from the firm, or if they feel that they may be situated to offer you products or services that you may find of interest.

Spencer Winston is a Discount Brokerage Firm that for the most part does not recommend securities. Spencer Winston Securities has organized a Premier Brokerage Division that does recommend securities. This in no way reflects any opinion whatsoever by Spencer Winston Securities on any individual stock or index, or the general direction of the stock market.

The company is good at what ever they do and that is demonstrated by the fact that they have one of the highest client retention rates in the industry. Their clients' success is mirrored in the company’s own financial performance. The Company has achieved record growth with revenues climbing annually. The company has committed themselves to the success of the business, to the pursuit of excellence, to the safety of its clients investments, and to providing industry leading quality of service to customers.

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