The Rockwell Financial Group Inc.

The Rockwell financial group is a full service broker/dealer with a network of investment professionals. The Rockwell financial Group provides timely investment advice and service to individuals, institutions, and corporations. The Rockwell Financial Group’s reputation and success is built on: As an investment banking firm The Rockwell Financial Group concentrates solely on finding and implementing the best investment strategy for each client’s unique objectives. The Rockwell Financial Group’s experienced network of investment professionals has complete autonomy to search through a broad array of financial products and find the right balance of high return and limited risk for their clients. Successful investing results from selectivity rather than availability. It requires experience and mature judgment in choosing the most prudent investors for each client’s investment needs. The Rockwell Financial Group account executives and their support staff of specialist provide the crucial link to an expanding and increasingly complex range of investment opportunities. Experience is the key. Each broker is a seasoned professional; customer satisfaction and solid portfolio performance create return business and long term career success. The Rockwell Financial Group executes orders in all major markets: New York Stock Exchange, American Stock Exchange, NASDAQ, and other leading national and international stock exchanges. INVESTMENT PROFESSIONALS The Rockwell Financial Group’s experienced account executives have the knowledge and expertise to navigate through today’s maze of investments opportunities while focusing on each client’s unique financial objectives. The Rockwell Financial Group only retains investment professionals with a proven track record and reputation for excellence. These high-caliber professionals join The Rockwell Financial Group because they appreciate the freedom and support that our unique corporate structure offers them. As seasoned professionals, The Rockwell Financial Group’s brokers have the independence and knowledge necessary to identify the best investment strategies. CLEARING AGENT The Rockwell Financial Group’s correspondent relationship with FirstSouthwest exists for one major purpose: To provide professional clearing services to its clients in an efficient cost effective manner. FirstSouthwest’s main business is clearing; they are able to commit all efforts and resources towards satisfying the needs of a diverse group of institutional as well individual investors. With respect to your account being carried on FSC’s books by arrangement with your introducing broker, FSC will be responsible for: Maintaining books and records detailing transactions in your account, and preparing confirmations and statements showing purchases and sales of securities and related activity, including receipt and delivery of securities and monies, and the collection and distribution of dividends. FSC will be responsible for sending the confirmations to you. Money market fund and Bank Insured Bank Deposit Program sweep activity will be reflected on your monthly or quarterly statements. Individual trade confirmations for sweep transactions and dividend reinvestments will not be provided. Providing margin credit, reviewing requests for extension of payment, the filing of various regulatory reports and observance of applicable industry rules and practices in the extension of credit, which includes compliance with Regulation T of the Federal Reserve Board, the regulations of the FINRA and the application of FSC’s own house margin maintenance requirements. FSC or your introducing broker sets the rates of interest to be charged to your account. Safeguarding your funds and securities, while in the possession of FSC, in accordance with Federal Regulations pertaining thereto. FSC is a member of the Securities Investor Protection Corporation (“SIPC”), which provides customers with insurance protection. Effective July 1, 2014 there will be a change in the Excess of SIPC Insurance Coverage that FSC purchases from the London Insurance Market. The over aggregate limit of liability with respect of all customers will remain unchanged at $150,000,000 as will the allocation within the aggregate for coverage of Cash at $900,000 for any one Customer. There will however be a sub limit in the Customer Securities Component which will restrict coverage with respect of any one Customer to a maximum of $25,000,000. This coverage is offered over and above the coverage provided by the Securities Investor Protection Corporation which protects securities in your brokerage account up to $500,000 and cash balances up to $250,000 which may be in cash awaiting reinvestment. SIPC and the Excess of SIPC Insurance Coverage Policy do not protect against losses due to fluctuations in the market.

Address: 2 WILLIAM ST, SUITE 403, WHITE PLAINS, NY 10601 USA

Phone: +1 914 328 7030
FAX: +1 914 328 7036