AW Securities is a Registered Broker-Dealer, member FINRA/SIPC. AW Securities is securities licensed in 50 states and this website is published in the United States for residents of the United States only. Products and services mentioned in this website may not be available in all states. To request a prospectus or information, contact AW Securities or your advisor. AW Securities is not soliciting business in any international jurisdictions. The home offices of AW Securities and Allworth Financial are located in Sacramento, California. The information and opinions on this site, provided by third parties, have been obtained from sources believed to be reliable, but accuracy and completeness cannot be guaranteed. It is given for informational purposes only and is not a solicitation to buy or sell. This information is not intended to be used as the primary basis for investment decisions, nor should it be considered as advice designed to meet the specific needs of an individual investor. Please seek the advice of professionals, as appropriate, regarding the evaluation of any specific information, opinion, advice, or other content. Advisory services are provided by Allworth Financial, an SEC Registered Investment Advisory Firm. Information about those services may be reviewed in the Allworth Financial form ADV, Part 2. Contact your advisory associate for the current form. AW Securities and Allworth Financial are not banks, and the products offered involve risks including possible loss of principal, and may fluctuate in value. Allworth Financial are not directly compensated by commissions. They are compensated through a base salary plus incentive program. Linked sites are not under the control of AW Securities or Allworth Financial and AW Securities or Allworth Financial are not responsible for the contents of any linked site or any link contained in a linked site, or any changes or updates to such sites.
Business Continuity Plan
Hanson McClain Group 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.
If after a significant business disruption you cannot contact us as you usually do at (800) 482-2196, you should call our alternative number (916) 787-4565, or go to our web site at www.allworthfinancial.com. If you cannot access us through either of those means, please refer to the list below for the contact information for your particular investment account or product.
In the event you cannot reach us in the manner listed above, and you have a fee-based or brokerage account held by one of our custodial firms, please contact them directly for assistance in accessing your funds and securities or to place trades. Each custodian’s contact information is listed below.
|Custodian Name||Contact Info|
|Fidelity Institutional Wealth Services||(866) 658-2299|
|TD Ameritrade (“TDA”)||(866) 451-1257 (Option 9, ext.500253)|
|Charles Schwab||(877) 707-1961|
If you hold assets directly with a mutual fund or variable annuity company (not through our clearing firm) you should contact that company directly for instructions on how to access your funds and securities, place trades or process any other account maintenance or servicing needs. Information on how to contact the company can usually be found on the monthly or quarterly statement sent to you by the custodian of your account assets. Companies with whom you have securities investment accounts are required to provide you with Business Continuity Statements that give information on how to contact the company in the event of a significant business interruption. If you have not already received a Business Continuity Statement from any company holding an account for you, we recommend that you contact the company to request the statement so that you have it on hand.
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 backup 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 custodial firms, NFS and TDA, back 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 custodial firms that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments according to their time sensitivity. Your orders and requests for funds and securities could be delayed during this period.
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 one day. 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 one to three business days. 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.hansonmcclain.com or our customer emergency number, (800) 482-2196 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. Please note that our business continuity plan is reviewed as necessary, and at least annually, to ensure it accounts for technology, business and regulatory changes, operations, structure or location. The plan is subject to modification. An updated business continuity statement for clients will be promptly posted on the website www.hansonmcclain.com. You may also obtain a current written copy of the updated statement by contacting AW Securities or Allworth Financial directly.
If you have questions about our business continuity planning, you can contact us at (800) 482-2196 or firstname.lastname@example.org.
Hanson McClain Group and its affiliated entities Allworth Financial, AW Securities and Allworth Tax Solutions (hereinafter collectively referred to as Hanson McClain Group) requires that you provide current and accurate financial and personal information. We will protect the information you have provided in a manner that is safe, secure and professional. Hanson McClain Group and all of their employees are committed to protecting your privacy and to safeguarding that information.
We collect non-public customer data in checklists, forms, in written notations, and in documentation provided to us by our customers for evaluation, registration, licensing or related consulting services. We also create internal lists of such data. During regular business hours, access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked. No individual who is not so authorized shall obtain or seek to obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of a firm principal. Failure to observe Hanson McClain Group’s procedures regarding customer and consumer privacy will result in discipline and may lead to termination.
Hanson McClain Group is committed to the protection and privacy of its customers’ and consumers’ personal and financial information. We will not share such information with any other affiliated companies or any nonaffiliated third party except:
- When necessary to complete a transaction in a customer account or provide other engaged services, such as with the clearing firm, account custodians or software vendors;
- When required to maintain or service a customer account;
- To resolve customer disputes or inquiries;
- With persons acting in a fiduciary or representative capacity on behalf of the customer;
- With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
- In connection with a sale or merger of Hanson McClain Group or their affiliated entities;
- To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
- To comply with federal, state or local laws, rules and other applicable legal requirements;
- In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
- In any circumstances with the customer’s instruction or consent; or Pursuant to any other exceptions enumerated in the California Information Privacy Act.
E-mail Communication Policy
- E-mail communication and any of its accompanying document(s) are confidential and privileged. They are intended for the sole use of the addressee. If you receive an e-mail transmission in error, you are advised that any disclosure, copying, distribution or the taking of any action in reliance upon the communication is strictly prohibited. If you received an e-mail in error, please contact our office at (800) 482-2196. Thank you.
- Trading instructions sent via e-mail will not be honored. If you need to place a trade to buy or sell securities, please contact the main office at (800) 482-2196 and ask to speak with your financial planner.
- Please be advised that communications regarding trades in your account are for information purposes only. You should continue to rely on confirmations and statements received from the custodian(s) of your assets.
FINRA Public Disclosure Program
FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. For questions regarding BrokerCheck, or to request an Investor Brochure, FINRA provides a toll-free hotline, (800) 289-9999, available Monday through Friday from 8 a.m. until 8 p.m., Eastern Time. This research tool can be found online at FINRA.