408(b)(2) Direct Compensation
As a “covered service provider” as defined by ERISA, we are required to disclose direct compensation…View Printable PDF
Business Continuity Plan
Significant business disruptions can vary in their scope and severity. In a disruption to…View Printable PDF
Customer Identification Disclaimer
Federal law requires financial institutions to obtain, verify, and record information that identifies…View Printable PDF
In the servicing of client accounts, SSN may receive non-public personal information about…View Printable PDF
Related Party Disclosure
Securities Service Network, LLC. (SSN) and SSN Advisory, Inc. (SSNAI) are wholly-owned by…View Printable PDF
SSN Revenue Sharing Program
Ladenburg Thalmann Financial Services Inc. and its affiliates, which include Ladenburg Thalmann & Co. Inc., Securities America, Inc., Triad Advisors, LLC., Securities Service Network, LLC., Investacorp, Inc. and KMS Financial Services, Inc., (together “Ladenburg Thalmann”), and their representatives receive revenue on the products and services you purchase from several sources. These sources include fees and charges you pay and other arrangements we have in place with affiliated and non-affiliated entities including: sales charges; commissions; periodic fees; periodic expenses paid from product assets such as 12b-1 fees from mutual funds and the funds available in variable annuities; financial planning and advisory service fees; a portion of the organization and offering fees and expenses for REITs, limited partnerships and other nonpublic securities offerings…View Printable PDF
Securities Service Network, LLC. (“SSN”) receives revenue sharing payments and or marketing reimbursements from certain product providers. Such payments create a conflict of interest in that SSN may receive a higher level of compensation for sales in such products…View Printable PDF
Order Routing Practices Disclosure
When an order is placed at the current market price to either purchase or sell, the order may then be shown to a “third market” provider. If the provider can execute the order at the current market price or better, the order will flow to that provider. The transaction will clear and settle through National Financial Services LLC or Pershing LLC. Securities Service Network, LLC. may receive a fluctuating payment per share for each transaction routed to a third market provider.
For accounts that clear through NFS, LLC customers may access this information by clicking:
NFS Disclosure of Order Routing Practices
For accounts that clear through Pershing, customers may access this information by clicking:
Pershing Disclosure of Order Routing Practices
After accessing this site, the customer will enter “Securities Service Network LLC” to retrieve the applicable information.
Educational Communication Related to Recruitment Practices and Account Transfers.
FINRA Rule 2273 establishes an obligation to deliver an educational communication in connection with member firm recruitment practices and account transfers. Specifically, Rule 2273 requires delivery of a FINRA-created educational communication by the member firm that recruited the registered representative (recruiting firm) that highlights key considerations for the representative’s former customers in transferring assets to the recruiting firm, and the direct and indirect impacts of such a transfer on those assets.
Educational Communication Related to Recruitment Practices and Account Transfers PDF