Brokerage Firm Disclosures

SII's Privacy Policy

Preserving trust is a core value at SII Investments, Inc. We recognize that you expect us to protect the information you provide us and to use it responsibly. We are strongly committed to fulfilling the trust that is the foundation of your expectations. Our brokerage firm’s computer systems utilize password protection to prevent access by unauthorized personnel, and we employ other physical, electronic and procedural safeguards in accordance with state and federal privacy regulations. In accordance with our values, we have adopted and adhere to the following policy regarding the privacy of your nonpublic personal information.

View SII’s Privacy Policy

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SII's Electronic Delivery of Documents Policy

View SII’s Electronic Delivery of Documents Policy

SII's Business Continuity Plan Disclosure

FINRA Rule 4370 requires a firm to disclose to its clients how its Business Continuity Plan addresses possible business disruption in various scenarios and its response to those scenarios.

View SII’s Business Continuity Plan Disclosure

SII's Premier Sponsor Program and Revenue Sharing Disclosure

Because there are thousands of mutual funds available for sale in the U.S., SII focuses on a group of some of the largest and most well-known mutual fund and insurance companies that offer a wide spectrum of investment choices.

Learn more about SII’s Premier Sponsor Program and Revenue Sharing Disclosure

SII's Investment Advisory Program: Premier Sponsor Program and Marketing Support Payments Disclosure.

View SII’s Investment Advisory Program: Premier Sponsor Program and Marketing Support Payments Disclosure

SIIs Order Routing/Best Execution Policy

At SII Investments, Inc., we value the trust you have placed in us as a broker/dealer and take our responsibilities to you very seriously. Processing your trades efficiently and effectively is an integral part of the service you should expect from SII Investments, Inc.

View SII’s Order Routing/Best Execution Policy

SII's Affiliation Disclosure

View SII’s Affiliation Disclosure

SII's Customer Identification Program

View SII’s Customer Identification Program Disclosure

SII's Breakpoint Information

View Breakpoint Information

Pershing’s Corestone Asset Management Fee Disclosures

View Pershing’s Corestone Fee Schedule

SII's Form ADV Part 2A and Form ADV Part 2A, Appendix 1, "Wrap Fee Program Brochure"

View SII's Form ADV Part 2A
View SII's Form ADV Part 2A, Appendix 1, "Wrap Fee Program Brochure"
Which Account Type is Right for You?
View SII's Consulting Services and Financial Planning Disclosure Brochure

Stop Order Disclosure

View SII's Stop Order Disclosure