Frequently Asked Questions

How does Client One Securities, LLC keep my personal information secure?

Please refer to our Privacy Policy.

What is a Broker/Dealer?

The Broker/Dealer is responsible for supervising and monitoring their rep’s securities business including such things as advertising, opening accounts, placing trades and maintaining required books and records.

What is a prospectus? *

A formal written offer to sell that sets forth the plan for a proposed business enterprise, or the facts concerning an existing one that an investor needs to make an informed decisision.* Please note many prospectuses are available online.

How can I find more information on investments and/or investing?

There are a wide range of books, periodicals, and websites providing information regarding different investments and options on investing.

How do I get set up for online access to my account(s) on NetXInvestor? What if I problems logging into my NetXInvestor account?

Please contact your registered representative to complete the online access form.

What is FINRA?*

FINRA stands for Financial Industry Regulatory Authority. FINRA is the largest non-governmental regulator for all securities firms doing business in the United States public-more than 5,000 firms employing more than 660,000 registered reps.

What is SEC?*

SEC stands for Securities and Exchange Commisison. The federal agency created by the Securities Exchange Act of 1934 to administer that act and the Securities Act of 1933. The statues administered by the SEC are designed to promote full public disclosure and protect the investing public against fraudulent and manipulative practices in the securities markets. Generally, most issues of securities offered in interstate commerce or through the mails must be registered with SEC.

What is SIPC?*

A nonprofit corporation that insures investors against the failure of brokerage houses, similar to the way the Federal Deposit Insurance Corp insures bank deposits. Coverage is limited to a maximum of $500,000 per account, but only up to $100,000 in cash. SIPC does not insure against market risk.

* This information was obtained from FINRA website ( in the Financial Glossary section.

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