Vanguard Capital has been a Registered Broker Dealer and Investment Advisor and is:
- Registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
- Registered with the Commodities Futures Trading Commission (CFTC) and a member of the National Futures Association (NFA).
- Member firm of the Securities Investor Protection Corporation (SIPC) and the Securities Industry and Financial Markets Association (SIFMA).
Data integrity and privacy. We safeguard your personal data and account information with comprehensive security methods, extensive back up systems and well-developed contingency plans. The confidentiality of your personal information is assured.
Just as we insist on excellence in the securities professionals associated with us, we also have high standards for our business relationships.
Serving as custodian for our Broker Dealer and Investment Advisor clients' assets and portfolios is Pershing LLC, a Bank of New York Mellon Corporation (NYSE: BK) and the Charles Schwab Corporation (NYSE: SCHW).
Bank of New York Mellon Corporation is one of the world's largest clearing agents of U.S. government securities, clears in 105 markets globally and administers over $1.5 trillion in tri-party balances every single day. Through Pershing LLC., Vanguard Capital enjoys access to the most advanced investment capabilities available, from fast, precise trade execution and settlement to accurate, timely account statements delivered online.
The Charles Schwab Corporation has been a leader in financial services for more than three decades and meets the business to business needs of institutional clients like Vanguard Capital through their Advisor Services.