Client account protections

Pershing, LLC

www.Pershing.com

An investment firm’s most critical obligation is to ensure the highest level of safety for client assets.

Dow Investment Group client brokerage accounts are held by, and security transactions are handled by, Pershing, LLC, the world’s largest securities clearing firm. Pershing is an affiliate of the Bank of New York Mellon, the nation’s oldest bank, founded in 1784. Pershing is a member of the New York Stock Exchange and every other major U.S. securities exchange.

The Securities Investor Protection Corporation (SIPC®) provides account protection up to $500,000 in value, including $100,000 in cash awaiting reinvestment. SIPC provides protection for brokerage firms against losses should a SIPC member firm fail financially and become unable to meet obligations of its securities clients. More information about the protection of account assets through SIPC is available at www.sipc.org. Pershing and Delta Equity are SIPC member firms. For additional security, Pershing provides coverage in excess of SIPC limits, see the following link for details: http://www.pershing.com/strength_stability.html.

Since 1939, Pershing has been a leading provider of financial business solutions focused on the segregation, safekeeping, servicing, and reporting of client assets in their custody. Please refer to Pershing’s Statement of Financial Condition for additional information.

 

Pershing’s parent company, The Bank of New York Mellon, has a capitalization of approximately $32 billion as of December 10, 2008, and holds $22.4 trillion in assets under custody and administration. Please refer to The Bank of New York Mellon’s website for current financial statements and reports.

 

About Pershing:

  • Pershing has provided financial and clearing services since 1939.
  • The company holds assets for nearly 6 million investors. Client assets total over $770 billion (as of June 30, 2010).
  • Pershing is the industry’s largest global outsourcing provider offering:

    – Clearance in more than 60 markets

    – Order execution in 45 markets

    – Foreign exchange in 50 currencies

Pershing provides our clients with an exceptional level of security and a quality service unsurpassed in the industry.