Western Equity Group
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Western Equity Group | |
| RBC Correspondent Services |
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Investor Information ************************ RBC CS |
RBC Correspondent Services™ Western Equity Group has a contractual agreement with RBC Correspondent Services™ (RBC CS) to serve as our clearing firm. A Clearing Firm is responsible for meeting the various regulations as they pertain to the sale or purchase of a security. RBC CS handles the processing of your transactions, and therefore provides you with account statements, reflecting market values and transactions. They do not provide any investment service, nor will they execute any orders other than those placed by a client's Registered Representative. RBC CS operates efficiently and entirely behind the scenes. Western Equity Group's relationship with RBC CS is a fully disclosed relationship. A "Fully Disclosed Relationship" signifies that there is a contractual agreement between Western Equity Group and RBC CS. The agreement clearly states the duties of each party. RBC CS notifies the New York Stock Exchange (NYSE) of the agreement, thereby disclosing the relationship. Each client is notified of the relationship via the disclosure letter. The disclosure letter also details the responsibilities that Western Equity Group and RBC CS have to you, the client. RBC CS has been servicing correspondent firms since 1979. Currently they serve over 160 brokerage firms nationally and internationally. RBC CS is a division of RBC Capital Markets Corporation, Member NYSE/FINRA/SIPC. RBC CS is one of the largest securities firms in the nation and has execution capabilities on all principal exchanges.
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