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Disclaimers & Disclosures

Important Information About Opening An Account

Business Recovery Continuity Plan

Order Routing Practices

How SIPC Protects You

Account Protection

The Securities Investor Protection Corporation (SIPC) was created in 1970 as a non-profit, non-government membership corporation, funded by member broker-dealers. SIPC provides limited coverage to investors on their brokerage accounts if their brokerage firm becomes insolvent.

All brokerage firms that sell stocks or bonds to the investing public, or that clear such transactions, i.e. introducing or clearing firms respectively, are required to be members of SIPC.

M. Griffith Investment Services, Inc.’s Coverage: M. Griffith Investment Services, Inc. is a member of SIPC.

Excess Insurance Coverage Maintained by Wells Fargo Clearing Services

First Clearing, as the chosen clearing firm of M. Griffith Investment Service, Inc., is a registered broker-dealer, non-bank affiliate of Wells Fargo & Company, and a leading provider of clearing and custody services to financial institutions. First Clearing is a member of the SIPC.

Securities and cash in client accounts held at First Clearing have two sources of protection in the event of First Clearing’s insolvency. SIPC coverage insures each client up to a maximum of $500,000 (including $250,000 for claims for cash). For more information about SIPC, please visit sipc.org. In addition, First Clearing maintains a program of additional protection provided through Lexington Insurance Company, (“Lexington”) an AIG Company. For clients who have received the full SIPC limits for any missing securities and cash in client brokerage accounts up to a clearing-firm aggregate limit of $1 billion (including up to $1.9 million for cash per client).

SIPC and the addition protection from Lexington do not protect against losses from the failure of a security, nor do they insure the quality of investments or protect against losses from fluctuating market value. All coverage is subject to the specific policy terms and conditions. First Clearing’s SIPC and additional coverage do not apply in the event of M. Griffith Investment Services, Inc.’s insolvency.

About Lexington Insurance Company

Lexington Insurance Company is the leading U.S.-based surplus lines insurer. For more information about Lexington, please visit lexingtoninsurance.com.

Financial Times Top 300

The 2016 Financial Times 300 Top Registered Investment Advisors is an independent listing produced by the Financial Times (June, 2016). The FT 300 is based on data gathered from RIA firms, regulatory disclosures, and the FT’s research. As identified by the FT, the listing reflected each practice’s performance in six primary areas, including assets under management, asset growth, compliance record, years in existence, credentials and accessibility. Neither the RIA firms nor their employees pay a fee to The Financial Times in exchange for inclusion in the FT 300.