Customer Protection
Protected Investors of America is an introducing Firm with the Financial Industry Regulatory Authority ("FINRA").  Categorized as such, an Introducing Firm does not maintain possession of customer cash and securities.

Securities Investor Protection Corporation
The securities in your account are protected in accordance with the Securities Investor Protection Corporation (“SIPC”) for up to $500,000 (including up to $100,000 for un-invested cash).  Our clearing firm also has arranged for additional coverage above these limits.  Neither coverage protects against a decline in the value of your securities, nor does either coverage extend to certain securities that are considered ineligible for coverage.    To obtain information on SIPC, or to request a SIPC brochure go to www.sipc.org or call (202) 371-8300. 

FINRA Public Disclosure Program 
The Financial Industry Regulatory Authority (FINRA) requires that we notify you, in writing, about the availability of an investor brochure that includes information describing the FINRA public disclosure program, BrokerCheck. To obtain a brochure or more information about BrokerCheck, please call the FINRA Hotline at (800) 289-9999. To get information on a firm or broker, go to www.finra.org, click on FINRA BrokerCheck, and follow the instructions.

Business Continuity Plan
Clients will continue to contact their registered representatives directly in the event of a business disruption in the PIA Home Office.  Alternatively, if a registered representative’s location experiences a business disruption, clients should contact the PIA Home Office directly.  The Home Office can be reached at 415-398-4363 or 1-800-786-2559.

 Protected Investors of America’s policy will respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and PIA property.  PIA will make a financial and operational assessment, quickly enable and resume operations, protect the firm’s books and records, and enable our existing customers to transact business.  Should PIA’s management determine that we are unable to resume business, we will assure customers prompt access to their funds and securities. 

 Clients may request a copy of this summary in writing at any time by sending their request to:

 Protected Investors of America 
235 Montgomery St. Suite 1050
San Francisco, California  94104

Privacy Policy
Protected Investors of America and its representatives take your privacy seriously and are committed to protecting your personal and financial information.  In the course of providing you with financial and other services we collect non-public personal information about you such as name, address, social security number, telephone number, email address, date of birth, income, employment, tax bracket and net worth. 

 PIA and its representatives collect nonpublic personal information about you from applications, forms, oral conversation and electronic communications such as email.  We may also receive information from consumer reporting agencies.

 PIA does not sell information about current or former customers to any third parties.  We may share information with third parties who help us provide the services you seek from us and we may also provide nonpublic information about you to non-affiliated third parties as permitted or required by law.

 Registered Representatives and Investment Advisory Representatives of PIA are self-employed individuals in private practice.  In some instances, the individual you work with may also offer additional services that are not offered through PIA; however, our internal policy and procedure prohibits the use of nonpublic information that you have provided for PIA services for any other purpose. 

 At such time as PIA and the representative terminate their relationship with one another, both may retain information.

The FBI's ID Theft Prevention Tips

ID Theft Prevention Tips

Order Routing Disclosure
Rule 11Ac1-6 under the Securities Exchange Act of 1934 requires all broker-dealers that route customer orders in equity and option securities to make publicly available quarterly reports that disclose the venues to which it routes non-directed orders in certain covered securities.  The Rule also requires broker-dealers to disclose the nature of any relationship they have wtih those venues, including any payment for order flow arrangements and requires broker-dealers disclose, upon customer request, the venues to which individual orders were sent for execution.   As the clearing broker, these reports are only available through   First Clearing, LLC, these reports are available by clicking here.  Please be aware you are leaving PIA's website upon selecting this link.