Client Disclosures

Customer Identification Program
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 a new account. Please click the link for the full disclosure: Customer Identification Program Disclosure.

Privacy Notice
According to SEC Regulation S-P, PTS Brokerage, LLC is required to provide you with our Privacy Policy. Here at PTS Brokerage, LLC, we strive to keep your personal and financial information confidential.

Business Continuity Plan
The FINRA requires each member firm to establish a Business Continuity Plan which indentifies procedures which are taken in the case of a significant business disruption.

SIPC Notice
PTS Brokerage, LLC is a member of the Securities Investor Protection Corporation (SIPC). Customers may obtain information about the SIPC, including a SIPC brochure, by accessing the SIPC's website at www.sipc.org or by calling (202) 371-8300.

FINRA Public Disclosure Program
PTS Brokerage, LLC is a member of the Financial Industry Regulatory Authority, Inc. (FINRA), which operates a public disclosure program known as BrokerCheck. Information about securities brokers and brokerage houses may be accessed and a brochure is available by visiting the FINRA's website at www.finra.org or by calling (800) 289-9999.

Risk Disclosure
There are risks involved with investing, including loss of principal. Current and future portfolio holdings are subject to risks as well. International investments may involve risk of capital loss from unfavorable fluctuation in currency values, from differences in generally accepted accounting principles or from economic or political instability in other nations. Emerging markets involve heightened risks related to the same factors as well as increased volatility and lower trading volume. Narrowly focused investments and smaller companies typically exhibit higher volatility. Bonds and bond funds will decrease in value as interest rates rise. High-yield bonds involve greater risks of default or downgrade and are more volatile than investment-grade securities, due to the speculative nature of their investments. Diversification may not protect against market risk. There is no assurance the objectives discussed will be met. Past performance does not guarantee future results.

Not FDIC Insured No Bank Guarantee May Lose Value


If you have any questions or concerns, contact us at pts@ptsbrokerage.com or by calling (856) 802-9400.