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Clearing
Local & National News | December 15, 2019
Duncan-Williams has a fully disclosed clearing agreement with Pershing, an affiliate of The Bank of New York Mellon, one of the largest providers of clearing and custodial services in the United States.

Our clients have access to their Pershing accounts through a Client Login link to an interactive website maintained by Pershing. Pershing also maintains a website that allows our customers to obtain current news releases and other information.

Duncan-Williams operates under provisions of the Securities and Exchange Act of 1934 and is a member of the Financial Industry Regulatory Authority, (FINRA), the Municipal Securities Rulemaking Board (MSRB) and the Securities Investor Protection Corporation (SIPC).

Pershing is a member of the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), and the Securities Investor Protection Corporation (SIPC).

As a result, securities in your accounts are protected up to $500,000 (of which $250,000 can be for claims for cash awaiting reinvestment). For details, please go to www.sipc.org. Pershing also provides additional protection in excess of SIPC coverage up to $1.1 billion through Lloyd’s of London, which works together with other insurers to provide the excess of SIPC coverage. Please note that the current excess of SIPC policy is scheduled to expire on February, 2020. For details, please go to www.sipc.org.

DISCLAIMER: Member SIPC & FINRA. Although the above information is not guaranteed, it has been obtained from reliable sources and is believed to be accurate.

 

Delivery Instructions | Clearing/Custody Disclosure Agreement

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