Documents


Privacy Policy

Safeguarding your personal information is important to us. We will not disclose any non-public information about our customers or former customers to anyone, except as permitted by law and described below.

 


Characteristics and Risks of Standardized Options

Prior to buying or selling an option, investors must read a copy of the Characteristics & Risks of Standardized Options, also known as the options disclosure document (ODD). It explains the characteristics and risks of exchange traded options.

 


Business Continuity Plan

Stern Brothers & Co. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

 


SIPC – Our Customer Protection

Working on behalf of your financial organization, Pershing LLC takes great pride in supporting our customers and makes every effort to ensure your brokerage account assets are protected.

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