Customer Notices

Best Execution
The primary concern of Nollenberger Capital Partners Inc. (NCPI) is to provide superior equity securities execution to our customers. NCPI's automated equity trading systems and trading desk procedures enable us to route limit and market orders to market centers which, based on our extensive experience, combine price, speed of execution and liquidity to provide you with the superior execution you require. NCPI neither receives nor gives payment for order flow.

NCPI receives no monetary or non-monetary payment as defined under SEC Rule 10b-10(d)(9).

All limit orders will be handled in accordance with the Limit Order Protection Rules of the Financial Industry Regulatory Authority (FINRA).

The Rule 606 Report provides information on the routing of “non-directed orders” - any order that the client has not specifically instructed to be routed to a particular venue or market center for execution. For these non-directed orders, NCPI has selected the execution venue on behalf of its clients.

The Rule 606 Report is divided into four sections. Section 1 is for securities listed on the New York Stock Exchange; section 2 is for securities traded on Nasdaq; section three is for securities listed on the American Stock Exchange or regional exchanges; and section four is for exchange-listed options.

For each section, this Report reflects information concerning certain market centers to which NCPI has routed orders, sets forth the percentage of various types of orders routed to these market centers, and discusses the material aspects of NCPI’s relationship with these market centers. The SEC noted in the Adopting Release of Rule 606 that “the quarterly reports on order routing are intended to provide a general overview of a broker-dealer's practices that is accessible and useful to individual investors.” To this end, NCPI is required by Rule 606 to disclose information concerning orders routed to market centers to which NCPI routed the most orders as well as information concerning orders to which NCPI routed at least five per cent or more of its orders. Lastly, Rule 606 requires NCPI to disclose to its clients, upon request, the market centers to which their individual orders were routed.

Order routing information for Nollenberger Capital Partners Inc. is available at  www.tagaudit.com

Customer Anti-Money Laundering Notice
To help the government fight the funding of terrorism and money laundering activities, the USA PATRIOT Act requires all broker-dealers to obtain, verify, and record information that identifies each customer who opens an account with us. When you open an account, we will ask you for identifying information and will request copies of photo identification such as a driver's license or passport.

Nollenberger Capital Partners Inc. appreciates your assistance and patience.

Business Continuity Disclosure
Nollenberger Capital Partners Inc. (“NCPI” or “the Firm”) is committed to safeguarding the interest of our clients and employees in the event of an emergency or significant business disruption. This Business Continuity Plan (“BCP”) Disclosure summarizes NCPI’s effort to mitigate risk inherent with unforeseen events or circumstances. The Firm’s BCP is designed to enable us to meet our existing obligations to our customers and continue to conduct business as usual should a business disruption occur. Depending on the type of occurrence, our goal is to resume normal operation within 24 hours from the time of the declaration.

A disruption could result from an array of situations. In some cases, only NCPI might be affected, while in others, the building or business district, or city or region where NCPI is located might undergo a disruption. Employees of the affected office will relocate to a predetermined facility and incoming telephone calls and e-mails will be rerouted to the nearest unaffected office. This will afford NCPI the opportunity to continue to provide services to our clients.

In the event of a regional disruption customers may access their funds and securities by contacting our clearing firm directly. NCPI utilizes Bear Stearns Securities Corp. as our primary clearing firm.

Please be advised that our plan is subject to change or modification and all changes will be promptly posted to this website. You may obtain an updated summary by requesting a written copy by mail.

General Disclosures

Nollenberger Capital Partners Inc. (NCPI) has retained Bear Stearns Securities Corp. (BSSC) Global Clearing Services to provide clearing services.

SIPC and Excess SIPC Account Protection
— The accounts of all NCPI customers carried on the books and records of BSSC are protected up to the amount of total net equity representing a loss of securities and / or cash in the unlikely event of BSSC's insolvency.
— This protection is provided by the Securities Investor Protection Corp. (SIPC) for amounts up to $500,000 per covered account of which $100,000 may be in cash.
— An Excess Securities Bond issued by the Customer Asset Protection Company (CAPCO) provides protection up to the amount of the covered account's net equity representing a loss of securities and / or cash, in excess of the underlying primary SIPC protection.

Financial Consultants and Investment Advisors are registered representatives of Nollenberger Capital Partners Inc.

Nollenberger Capital is a registered Broker-Dealer with the Financial Industry Regulatory Authority (FINRA) www.finra.org.

Nollenberger Capital is a Registered Investment Advisor with the SEC.

Disclaimer

Terms and Conditions
By using this site you agree to the following terms and conditions, please read them carefully. These terms and conditions may change, please check periodically for updates. When using linked sites you do so at your own risk, Nollenberger Capital Partners does not accept any responsibility for the accuracy of content on such sites

Login & Password
Please contact your registered representative to obtain a valid ID and password. The first time the logon is used, you will be required to change your password. Should you enter the password incorrectly three times, you will need to contact the registered rep to have the password reset.

Third Parties
Third party vendors are independent organizations and not affiliated with Nollenberger Capital Partners.

Although we have tried to create a secure site, we do not make any guarantee of the accuracy or completeness of any information delivered electronically or by a third party. Any linked sites are provided as a convenience and are not under our control and we do not guarantee or endorse the services provided within.

Privacy Policy
We will not disclose any private information about you, except as directed by you, as necessary to service your account or process a transaction, or as otherwise permitted by law. Customer information is never sold.

Should your relationship with Nollenberger Capital Partners end, your personal information will remain protected in accordance with our privacy practices.

Copyright and other Proprietary Material
All of the content, logos, images, and text of this Website are proprietary to Nollenberger Capital Partners Inc. or to third parties from whom we have obtained permission. You are authorized to view, download and print from our website. You may not reproduce, modify, redistribute or reuse without prior written consent from Nollenberger Capital Partners.

Hold Harmless / Indemnity
The information on this website is provided by Nollenberger Capital Partners without any warranty. In no event will Nollenberger Capital Partners be responsible for any loss or liability that should arise as a result of using this website. Should access to this site become unavailable, Nollenberger Capital Partners is not responsible for any damages this may cause.