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Important Disclosures

Transparency and full disclosure is a vital aspect of the financial industry. Please review the links for important information on our firm and feel free to request more information from your financial advisor.

CIP Notice

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account. This Notice answers some questions about The Investment Center, Inc.’s Customer Identification Program.

Client Fees

A breakdown of client fees through Pershing, LLC.

Identity Theft / Red Flag

The Investment Center's Identity Theft and Red Flag Program

Options Trading

Privacy Policy

The Investment Center, Inc., (TIC) respects our clients' needs to keep their personal information private. To that end, in accordance with the Securities and Exchange Commission Regulation S-P, TIC has established a policy to keep confidential all nonpublic personal information and records of all current and former clients.

Consumer Info

The Investment Center, Inc is a broker-dealer registered with the United States Securities and Exchange Commission (SEC) and is a member of both the Financial Industry Regulatory Authority, Inc (FINRA) and Securities Investor Protection Corporation (SIPC).

Segregation of Assets

As required, Pershing, LLC segregates investor assets, which are fully paid-for, from its own assets. Therefore, in the unlikely event of the financial failure of Pershing, investors’ fully paid-for assets will remain separate from Pershing’s own assets.

Margin Disclosure

Important Facts about Purchasing Securities on Margin

Risk Disclosures

All investments have risks associated with them. For example, investors in equities run the risk that the market as a whole could decline, dragging otherwise healthy stocks with it.

Excess SIPC

The Investment Center, Inc. and our clearing firm (Pershing, LLC) are members of the Securities Investor Protection Corporation (SIPC)

Business Continuity Plan

The Investment Center has established a Business Continuity Plan to ensure that the firm will rebound quickly from a significant business disruption. Click below to learn more about our plan.

Strategic Partner Disclosure

Although not a material consideration when determining whether to recommend that a client purchase a specific investment product, The Investment Center, Inc. (TIC) may receive from a particular investment product sponsor (i.e., a mutual fund company, variable investment product sponsor, etc.) support services that, in part, may assist TIC and its representatives to better present a sponsor’s investment products to their clients.

Certificate of Deposit

Pershing's Certificate of Deposit disclosure

Order Routing Data

Click to see where our order routing goes