Second Street Securities, Inc., established in 1997, is a broker/dealer registered with the Securities and Exchange Commission, and a member of the FINRA and SIPC with their Main Office located in Woodland Hills, California. Second Street is a wholly-owned subsidiary of Advent Software.
From June 1997 to June 2006, Second Street provided independent research and brokerage services to Institutional Investors, Hedge Funds, and Registered Investment Advisors on a fully disclosed basis. The Firm sold its soft-dollar business and certain other brokerage services in 2006 to an outside entity.
Since June 2006, Second Street has enabled Advent users to have the ability to plug-in their solutions to the broker dealer of their choice. As a captive broker-dealer of Advent, Second Street accepts no new customers.
Anti Money Laundering Notice
Federal law requires all financial organizations to obtain, verify, and record information that identifies each person who opens an account. When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask you to provide documentation that establishes your identity. Such documents often include a passport or resident card; or a driver's license or ID card and a social security card or birth certificate. Other documents have also been deemed acceptable in establishing identity. The information you provide may also be used to perform OFAC checks, credit checks, third party vendor checks, and identification checks using other internal sources.
Disclosure of Business Continuity Plan
Second Street Securities, Inc. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – In the event of a significant business disruption, should you wish to contact us through telephone you may call the current number 818-657-0288 or you may communicate via email at firstname.lastname@example.org. Our alternative number is 415-645-1242.
Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with employees and regulators; alternate physical location of employees; critical bank impact; and regulatory reporting.
In a disaster situation, Customers should contact the broker dealer or clearing firm through which they have accounts. (For example, Customers who have accounts through SunGard can call their main phone number 781-275-7444 to be routed to the best location to place orders or to liquidate positions.) You may call 818-657-0288 or email email@example.com to inquire about other contacts.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within three business days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you of special instructions. When you call our customer emergency number 415-645-1242 we will provide you guidance.
For more information - If you have questions about our business continuity planning, please contact us via e-mail at firstname.lastname@example.org or please call 818-657-0288.
In accordance with the Public Disclosure Program (PDP), you may visit www.finra.org (click on - FINRA broker check) to get information about Second Street Securities, Inc, including registration/licensure status, conduct and disclosure from regulatory agencies.
Second Street Securities, Inc.
21860 Burbank Blvd, Suite # 150
Woodland Hills, CA 91367
818.657.0288; 818.657.0299 Fax
General Securities Principal; Secondary FinOP
General Securities Principal, Financial & Operations Principal