Disclosures

Network 1 Financial Securities, Inc.

Account Insurance Disclosures:

Network 1 Financial Securities, Inc. is a member of the Securities Investor Protection Corporation (SIPC), which provides coverage for accounts up to $500,000 (including up to $250,000 in cash) per client as defined by SIPC rules.

Network 1 Financial Securities, Inc. utilizes the services of COR Clearing LLC, a member of the Securities Investor Protection Corporation (SIPC). COR Clearing’s policy, through Lloyd’s of London, provides additional account coverage up to $24.5 million (including up to $1,150,000 in cash) per client as defined by SIPC rules. With both SIPC and Lloyd’s of London coverage, accounts are protected up to a total of $25 million per client (as defined by SIPC rules) including up to $1,150,000 for cash balances, with an aggregate limit of $100 million.

This coverage does not protect against the loss of the market value of securities.

For more information, visit http://www.sipc.org/ or http://www.lloyds.com/

Account Verification:

Due to Federal Regulations, when opening a new account, customer identification will be verified.

In Case of Disaster:

If you are unable to reach Network 1 Financial Securities Inc. due to a natural disaster or technical problems, please call our clearing firm COR Clearing at 800-811-4387.

State Regulations

Each state has different regulations. Many states will allow certain business transactions. 

However, Network 1 Financial Securities Inc. will not solicit or do business in states where it is prohibited to do so.

Please call us at: 800-886-7007 or contact us for more information.

Because of the nature of the Internet and of Network 1’s inability to control where its web page might be received across national borders, notice is given that Network 1 Financial Securities’ website is not intended to solicit securities business in Italy and is not directed toward any investor viewing our website while in Italy.

States in which Network 1 Financial Securities, Inc. Operates

The services of the various member companies of Network 1 Financial Securities, Inc. are available in many states throughout the country. More states are continuously being added. 

What is an Accredited investor?

An “Accredited Investor” is defined in Rule 501(a) of Regulation D under Rule 144 of the Securities Act. This definition includes certain institutional investors and (a) any natural person whose individual net worth, or joint net worth with that person’s spouse, exceeds $1,000,000 at the time of purchase; or (b) any natural person who had an individual income in excess of $200,000 in each of the two most recent years or joint income with that person’s spouse in excess of $300,000 in each of those years and who reasonably expects reaching the same income level or greater in the current year.

Please call us at: 800-886-7007 or contact us for more information.

 

Current Offerings