Account Protection

Account Protection

Coverage for cash and securities in protected client accounts is provided from two sources. The Securities Investor Protection Corporation (SIPC) protects up to $500,000, of which $250,000 may be cash. Additional protection, at no cost to you, has been obtained for the remaining net equity balance, if any of the cash and securities in your Account. This coverage does not protect against losses from any change in the market values of investments.

The Securities Investor Protection Corporation (SIPC) was created in 1970 as a non-profit, non- government membership corporation, funded by member broker-dealers. SIPC provides limited coverage to investors on their brokerage accounts if their brokerage firm becomes insolvent.

All brokerage firms that sell stocks or bonds to the investing public, or that clear such transactions, i.e. introducing or clearing firms respectively, are required to be members of SIPC.

Trubee Collins & Co, Inc. Coverage:

Trubee Collins & Co, Inc. is a member of SIPC.

First Clearing Coverage:

First Clearing* as (a/the) chosen clearing firm of Trubee Collins & Co, Inc., is a registered broker-dealer, non-bank affiliate of Wells Fargo & Company, and a leading provider of clearing and custody services to financial institutions. First Clearing is a member of SIPC.

Securities and cash in client accounts held at First Clearing have two sources of protection that are separate and distinct from the SIPC coverage of Trubee Collins & Co, Inc. SIPC coverage insures each client up to a maximum of $500,000 (including up to $250,000 for claims for cash). For more information about SIPC, please visit sipc.org. In addition, First Clearing maintains a program of additional protection provided through Lexington Insurance Company, (“Lexington”) an AIG Company. For clients who have received the full SIPC payout limit, First Clearing’s policy with Lexington provides additional coverage above the SIPC limits for any missing securities and cash in client brokerage accounts up to a clearing-firm aggregate limit of $1 billion (including up to $1.9 million for cash per client).

SIPC and the additional protection from Lexington do not protect against losses from the failure of a security, nor do they insure the quality of investments or protect against losses from fluctuating market value. All coverage is subject to the specific policy terms and conditions. First Clearing’s SIPC and additional coverages only apply in the event of First Clearing’s insolvency, and do not apply in the event of Trubee Collins & Co, Inc.’s insolvency.

* First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.

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