Brokerage Services

Comprehensive Brokerage Services

Riedl First Securities Company of Kansas markets a wide range of financing, from issues of a few hundred thousand dollars to issues of many millions of dollars. The firm’s clients include a large number of individual investors, small institutional investors, and large national institutional investors. Recent calculations indicate that the firm’s officers have been involved as consultants, underwriters or sales over $5 billion of tax-exempt bonds.

RBC Clearing and Custody, a Division of RBC Capital Markets Corporation

Riedl First Securities is a registrant of the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and the Securities Investor Protection Corporation (SIPC). Our clearing firm, RBC Clearing and Custody, is a division of RBC Capital Markets Corporation. RBC Capital Markets Corporation is a member of the Securities Investor Protection Corporation (SIPC). SIPC is a nonprofit membership corporation funded by its member security broker-dealers. Member of SIPC, which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). Explanatory brochure available upon request or at www.sipc.org.

RBC Capital Markets Corporation Additional Policy

RBC Capital Markets Corporation has purchased an additional policy that offers coverage in excess of the protection provided by SIPC. This coverage covers additional securities and cash protection up to $99.5 million per client, of which $900,000 may be in cash. A $400 million aggregate limit applies to this additional coverage.

Protection of Client’s Securities

RBC Capital Markets Corporation also offers protection if a client’s securities are missing because of theft by an outsider, computer fraud, or theft by an employee for personal gain. In such cases, the Firm’s CAN$310 million Financial Institution Bond coverage would cover the client’s losses, subject to that policy’s terms, conditions and limits.

Note: Neither SIPC protection, nor protection in excess of that offered by SIPC, covers a decline in the value of a client’s assets due to market loss. Additional information is available upon request or at www.sipc.org.

For more information about our Brokerage Services, call us at 316-265-9341.

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