3116 Capital Circle NE,
Suite 10, Tallahassee
(850) 386 1112
Securities and Investment Advisory services offered through NBC Securities, Inc. Member FINRA and SIPC. Investment products 1) are not
FDIC insured 2)not guaranteed by any bank and 3)may lose value including a possible loss of principal invested. NBC Securities does not
provide legal or tax advice. Recipients should consult with their own legal or tax professional prior to making any decision with a legal or tax
You can have peace of
mind knowing we are
backed by RBC CS - a
respected global leader,
in the finance
Introducing our account custodian - RBC Correspondent Services
What Is RBC Correspondent Services?
RBC Correspondent Services (RBC CS) is a division of RBC Capital Markets Corporation, a wholly owned
subsidiary of Royal Bank of Canada. RBC employs more than 80,000 full-and part-time employees who
serve more than 17 million personal, business, public sector and institutional clients through offices in
Canada, the U.S. and 48 other countries — making it a respected global leader in diversified financial
Its financial strength, sound risk management policies, strong balance sheet, diversified business mix, and
performance relative to its peers has been, and should be a source of confidence for you.
We are part of RBC’s U.S. Wealth Management business, which has a rich hundred-year history of serving
the sophisticated wealth management needs of the world’s leading families. Delivering our world-class
wealth management solutions and custodial services to broker-dealers is an important strategic priority to
How Will RBC Correspondent Services Protect My Assets As A Custodian?
In addition to RBC CS’s proven commitment to responsible stewardship, we comply with Securities and
Exchange commission requirements to maintain certain capital requirements, as well as to keep client
assets separated from our assets and the assets of others (unless you have signed a margin agreement)
Since RBC Capital Markets Corporation is a member of Securities Investor Protection Corporation — a
nonprofit corporation funded by member securities broker-dealers — you are eligible for SIPC insurance
protection. In the event of a catastrophic loss of RBC CM’s firm capital, SIPC reserve funds would be
available to satisfy claims against the firm, up to $500,000 per client, including up to $100,000 in cash.
Beyond SIPC insurance, RBC carries additional insurance through Lloyd’s of London. The policy provides
additional securities and cash protection up to $99.5 million per SIPC qualified account (of which $900,000
may be cash). The firm’s excess SIPC policy is subject to a maximum aggregate amount payable of $400
What Are My Next Steps?
We are looking forward to both earning your trust and establishing a long-term relationship with you and
your family. For more information about the strength and stability of RBC, visit the corporate profile and
investor relations sections of www.rbc.com.
|Certified Financial Planner Practitioner