FinTech Securities
10 Year Treasury:

Compliance

FinTech Securities, LLC is a private, independent, registered broker/dealer with the Financial Industry Regulatory Authority (FINRA, www.finra.org). We were authorized to conduct business by the NASD (now FINRA) on November 30, 2004. All personnel are properly registered. FinTech has no payment for order flow arrangements in place of any kind.

Best Execution

FinTech Securities is an introducing broker. We and our clearing agents adhere to “best execution” of our client’s trades and conduct regular assessments of these transactions. With regard to customer executions, all markets are reviewed and assessed to ensure customers receive best execution and opportunities for price improvement. As markets and conditions dictate, this may include routing orders to Nasdaq market makers and Electronic Communication Networks (ECN’s).

Anti-Money Laundering

It is the policy of FinTech Securities to prohibit and actively prevent money laundering and any activity that facilitates money laundering or the funding of terrorist or criminal activities. FinTech has established anti-money laundering procedures which include, at a minimum, internal policies, procedures and controls, the designation of the anti-money laundering compliance officer, employee training and an audit of the processes to prevent money laundering. These procedures are designed to explain the requirements of the PATRIOT Act and to reasonably detect and report any suspicious activities/transactions.

Privacy

At FinTech Securities, we recognize the sensitive nature of financial information and take appropriate precautions to protect privacy. We are committed to protecting the privacy of our potential, current and former customers. When information is entrusted to FinTech it is used only within strict guidelines.We do not sell personal information to third parties. We do not disclose nonpublic information about our potential, current, and former customers unless allowed or required by law. We maintain physical, electronic, and procedural safeguards to protect your information.

Business Continuity

FinTech Securities has designed a strategy to provide a consistent communication framework to plan for and/or respond to any crisis situation that may disrupt the firm’s operations. Its purpose is to support the response to any crisis that may occur by providing timely, accurate information to customers. Most institutional clients of the firm will maintain uninterrupted service should the home office experience a significant business disruption.

Financials

FinTech’s most recent Focus Report and Audited Financial Reports are available upon request.

Contact Us

Contact FinTech Securities for more information about our compliance practices.

888-822-3310 or Info@FinTechSecurities.com