Regulatory Disclosures
Securities offered through Intrepid Investment Bankers LLC, member FINRA/ SIPC.
Business
Continuity Plan
Please click here to view our Business Continuity Plan.
PATRIOT
ACT
Under Section 326 of the USA PATRIOT Act, Intrepid Investment
Bankers LLC and its affiliates are required to verify the identity
of their clients. We may utilize the services of outside vendors,
such as Dun & Bradstreet, to assist with this
government-mandated requirement. We appreciate your business and
patience with our compliance efforts.
Broker Check
Information
As an aid to the education and protection of the investing public,
the FINRA operates a toll-free Information hotline and an Internet
Website to disseminate information regarding the disciplinary
history of FINRA members and their associated persons. Clients who
wish to obtain a brochure which describes the FINRA Broker Check
Program should contact the FINRA through the hotline or via the
Internet.
- Call the Broker Check Hotline at 1-800-289-9999. The hotline is open Monday through Friday, 8:00 am to midnight, and Saturday 8:00 am to 5:00 pm (all times Eastern).
- Write to Broker Check, FINRA, PO Box 9401, Gaithersburg, MD 20898. Fax: 301-212-8137.
- Visit the Website: The Broker Check Program can be accessed through the Internet at www.FINRA.com.
