Regulatory Overview
KOMMNZ Securities, Inc. is committed to maintaining the highest standards of regulatory compliance and ethical conduct. We operate under the oversight of multiple regulatory bodies and adhere to all applicable laws and regulations governing the securities industry.
Regulatory Memberships
Securities and Exchange Commission
Registered Investment Advisor
CRD# 12345
Financial Industry Regulatory Authority
Member Broker-Dealer
CRD# 12345
Securities Investor Protection Corporation
Member Firm
Protection up to $500,000
SIPC Protection
KOMMNZ Securities is a member of the Securities Investor Protection Corporation (SIPC). SIPC protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). For additional information, visit www.sipc.org or call 1-202-371-8300.
Please note: SIPC protection covers the custody function of the broker-dealer, protecting against the loss of securities and cash in customer accounts. SIPC does not protect against declines in the market value of securities.
BrokerCheck
FINRA BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokers and brokerage firms. You can access BrokerCheck at brokercheck.finra.org or by calling 1-800-289-9999.
Compliance Standards
Our compliance program includes:
- Know Your Customer (KYC): Comprehensive customer identification and verification procedures
- Anti-Money Laundering (AML): Robust AML program to detect and prevent financial crimes
- Suitability: Investment recommendations appropriate for each client's situation
- Best Execution: Commitment to obtaining the best possible execution for client orders
- Privacy Protection: Safeguarding of customer information in accordance with Regulation S-P
- Business Continuity: Plans to maintain operations during emergencies
Client Relationship Summary (Form CRS)
As required by SEC regulations, we provide all retail investors with a Client Relationship Summary (Form CRS) that describes the types of services we offer, fees and costs, conflicts of interest, and disciplinary history. You may request a copy of Form CRS at any time by contacting us.
Order Routing Disclosure
In accordance with SEC Rule 606, we make available quarterly reports on our order routing practices. These reports provide information about where we route orders for execution. Reports are available upon request.
Filing a Complaint
If you have a complaint about our services or believe you have been treated unfairly, please contact our Compliance Department:
KOMMNZ Securities Compliance Department
200 Park Avenue, 25th Floor
New York, NY 10166
Email: compliance@kommnz.com
Phone: (212) 847-9610
You may also file a complaint directly with FINRA at www.finra.org/investors/have-problem.