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If you have any questions or complaints regarding a Registered Representative of 2nd Generation Financial (d/b/a of BrightChoice Financial, LLC), please call 615-846-7650
Dana Holmes, Compliance Officer
2nd Generation Financial Compliance Department
618 Church Street, Suite 430
Nashville, TN 37219
Client Disputes Must Be Submitted in Writing
The Financial Industry Regulatory Authority, (FINRA) is the largest independent regulator of all securities firms doing business in the United States. As a self-regulatory organization, FINRA is accountable to the Securities and Exchange Commission (SEC) for enforcing securities laws and supervising their members.
In accordance with FINRA Rule 2267 (Investor Education and Protection), 2nd Generation Financial (d/b/a of BrightChoice Financial, LLC.), is providing the following information in the event you wish to contact FINRA:
1735 K Street
Washington DC, 20006
FINRA Website: http://www.finra.org/
FINRA Call Center: (301) 590-6500
BrokerCheck allows investors to research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives.
BrokerCheck Help Line: (800) 289-9999
2nd Generation Financial (a subsidiary of 2nd Generation Capital, LLC d/b/a of BrightChoice Financial, LLC) is a non-bank broker-dealer member of the Securities Investor Protection Corporation (SIPC), a nonprofit, congressionally chartered, membership corporation created in 1970. SIPC protects clients against the custodial risk of a member brokerage firm becoming insolvent by replacing missing securities and cash up to $500,000, including up to $250,000 in cash, per client, in accordance with SIPC rules. For more information about SIPC, please visit http://www.sipc.org/.
In response to the terrorist attacks on September 11, 2001, the US Congress passed the USA PATRIOT Act.
Parts of this Act apply to the financial services industry and require certain financial institutions to request specific information from clients.
Under the USA PATRIOT Act and other regulations, financial services firms must establish a compliance program, which includes policies and procedures to detect and report suspicious transactions to the government, as well as ensure compliance with the new laws. Firms must also implement specialized employee training programs, designate a special compliance officer and conduct independent audits of the effectiveness of the compliance program.
The regulations also impose new requirements regarding client information and verification of that information. Financial services firms are required to verify the identity of the clients with whom they do business, where appropriate determine the source of funds in a client’s account and obtain the information about a client’s wealth.
As part of our compliance with the new USA Patriot Act, 2nd Generation Financial (a subsidiary of 2nd Generation Capital, LLC d/b/a of BrightChoice Financial, LLC) may ask clients for additional information and documentation about certain accounts and transactions. This information may be used to verify client identity.