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Disclosure |
Thornhill Securities, Inc. (TSI) is a broker-dealer registered with the Financial Industry Regulatory Association (FINRA) and Securities Investor Protection Corporation (SIPC) and an Investment Advisor registered in the State of Texas. Due to various state regulations and registration requirements concerning the dissemination of information regarding investment products and services, we are currently required to limit website access to individuals residing in states where we are currently registered. We are licensed in the following states: Texas, Alabama, Alaska, California, Colorado, Florida, Louisiana, New Jersey, New York, & Pennsylvania. Registered representatives and investment advisor representatives of TSI may only conduct business with residents of the states and jurisdictions in which they are properly registered. Not all of the products and services referenced on this site are available in every state and through every representative or advisor listed. All the content on this site is for information purposes only. Material presented is believed to be from reliable sources but we make no representations as to its accuracy or completeness. All information and ideas should be discussed in detail with an investment professional. The authors, publisher and host are not providing legal, accounting or specific advice concerning your situation.
Terms of Use
This website is provided as a service of TSI. By accessing this website, you agree to the following terms and conditions: NO OFFER: Nothing on the TSI website should be construed as a solicitation or offer, or recommendation, to acquire or dispose of any investment or to engage in any other transaction. We do not render or offer to render personalized investment advice or financial planning advice through the TSI website. Any specific advice is given only within the context of our contractual agreements with each client. The TSI website is limited to the dissemination of general information about our service offerings, and provides an alternative method for prospective clients to learn more about TSI. DISCLAIMER: THERE ARE NO WARRANTIES, EXPRESSED OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS OR ANY LINKED INTERNET SITE: While TSI uses reasonable efforts to obtain information from sources which it believes to be reliable, we make no representation that the information or opinions contained on the website are accurate, reliable or complete. The information and opinions contained in this website are provided by TSI for personal use and informational purposes only and are subject to change without notice. Nothing contained on the TSI website constitutes investment, financial, legal, tax or other advice, nor is to be relied on in making an investment or other decision. Any specific advice is given only within the context of our contractual agreements with each client. LINKED WEBSITES: When you access certain links on the website you may leave the TSI. TSI does not endorse the content of such websites, the products, services or other items offered through those websites. Any links to other sites are not intended as referrals or endorsements, but are merely provided to the users of the TSI website for convenience and informational purposes. PASSWORD-PROTECTED AREAS: Some of the material in TSI's website, notably under the “Account Access” tab, are password-protected and access to these areas is restricted to authorized users only. The user in password-protected areas is responsible for any use of the password and for maintaining the confidentiality of the password. DOWNLOADED MATERIAL FROM WEBSITE: You may download or print out a hard copy of individual pages and/or sections of the TSI website, and files made available for download, provided that you do not remove any logos or other proprietary notices. Any downloading or otherwise copying from the TSI website will not transfer title to any software or material to you. You may not reproduce (in whole or in part), transmit (by electronic means or otherwise), modify, link into or use for any public or commercial purpose the TSI website without the prior written permission of TSI. Privacy Policy
At Thornhill Securities, Inc., we recognize the importance of protecting your privacy and we have policies in place to maintain the confidentiality and security of your personal information. The following policy is designed to help you understand what information we collect from you and how we use that information to serve your account.
Confidentiality and Security: We restrict access to nonpublic, personal information about you to those employees and agents who need to know that information to provide products and services to you. We maintain physical, electronic, and procedural safeguards to protect your nonpublic, personal information.
Categories of information that Thornhill Securities, Inc. discloses and parties to who Thornhill Securities, Inc. discloses: We do not disclose any nonpublic, personal information about our customers or former customers to anyone, except permitted by law.
Categories of information that Thornhill Securities, Inc. collects:
· Information we receive from you on applications or other forms.
· Information about your transaction with us, our affiliates, or others.
· Information we receive from a consumer reporting agency.
Routing Procedures
Upon written request to Thornhill Securities, you may obtain information regarding order routing practices of Thornhill as well as the identity of the venue to which your orders were routed for the six months prior to your request. Please send requests to: Thornhill Securities, 336 S. Congress Ave. Ste. 200, Austin, TX 78704.
Payment for Order FlowYou may access our “payment for order flow” information on www.orderroutingdisclosure.com. Please type “Thornhill Securities Inc” for the broker dealer name. If you have difficulties accessing the information, please contact Thornhill Securities.
Business Continuity Plan
Thornhill Securities, Inc. 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.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 512.472.7171, you should call our alternative number 800.677.9103 [www.thornhillsecurities.com]. If you cannot access us through either of those means, you should contact our clearing firm, Pershing LLC, at www.pershing.com 201.413.3635 for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for Thornhill customers.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, Pershing LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 4 hours. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 4 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 4 hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.thornhillsecurities.com or our customer emergency number, 800.677.9103 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
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