First Clearing Audited Financial Statement
Your securities and cash are held at a clearing firm — First Clearing, LLC, a member of the New York Stock Exchange, NASDAQ, and other major exchanges. First Clearing, LLC, is a subsidiary of Wells Fargo — one of the largest bank holding companies in the United States. This is their latest audited Statement of Financial Condition.
Asset Manager Code of Professional Conduct
This brochure outlines the code of conduct to which Chartered Financial Analysts (CFA) who act as asset managers must adhere. At WrapManager we recommend institutional money managers. Some of these managers hold the Chartered Financial Analyst® designation.