Account Protection

The decision to make Rochester Wealth Management Group, LLC. your partner in developing your portfolio—and future—is a solid one. We have been helping clients achieve their goals since 1981. We are registered with the Securities and Exchange Commission (SEC) and are members of the National Association of Securities Dealers, Inc.(NASD), the Municipal Securities Rulemaking Board, and the Securities Investor Protection Corporation (SIPC).

Powerful connections and account protections
Rochester Wealth Management Group, LLC. is connected to all securities exchanges through our clearing firm, Pershing LLC, a Bank Of New York Company. Rochester Wealth Management Group, LLC. also has its own trade desk for special handling of Over-The-Counter (OTC) orders. Our accounts are protected up to the total net equity in the account. This protection consists of $500,000 of basic SIPC* coverage (including $100,000 for cash holdings) and secondary excess SIPC coverage of unlimited net equity.

The following types of securities are protected by SIPC and Excess SIPC coverage:
Notes, stocks, bonds, and certificates of deposit (CDs) Money market funds organized as mutual funds

• Publicly registered investment contracts or certificates of participation or interest in profit sharing agreements or oil, gas, or mineral royalties/leases
• Warrants or rights to purchase, sell, or subscribe to the aforementioned securities
• Cash balances (up to $100,000) maintained in an account for the purpose of purchasing securities

SIPC and Excess SIPC coverage does not apply to unregistered investment contracts or any interest in gold, silver, or other commodities, commodity contracts, or commodity options.

Account protection does not include losses from the rise or fall in the market value of a client's investments.

*The Securities Investor Protection Corporation (SIPC) is a non-profit organization established by Congress to insure client accounts against the failure of member brokerage firms.