Business Continuity Planning Disclosure
M.E. Allison & Co., Inc. (the "Firm" or "M.E. Allison") is a full service independent broker/dealer. Our Firm operates as an introducing firm on a fully disclosed basis. Our Firm clears trades through National Financial Services, Inc.
Our Firm and our clearing firm use various mission critical systems to provide services to our customers.
We are a member of the Financial Industry Regulatory Authority ("FINRA") and the Securities Investor Protection Corporation ("SIPC"). You may obtain additional information relating to these entities at their respective website addresses as follows:
www.finra.org
www.sipc.org
Our business continuity planning ("BCP") first insures the safety and security of our employees. The events of 9/11 emphasized the unique skills of personnel who work in our industry, and the need to put their safety first so that after an interruption they are available to continue serving our customers. In addition to protecting our personnel, our BCP and daily operations are focused on preserving our critical Firm and customer data through regular backups which are moved offsite either via media and/or real time and near real time electronic copies of our data at remote locations.
Trade Execution Quality
SEC Rule 606
The U.S. Securities and Exchange Commission's Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution, and disclose the material aspects of the broker/dealer's relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.
M.E. Allison & Co., Inc. enters all equity orders through the order entry system of our primary custodian and clearing firm, National Financial Services, Member SIPC, a registered broker dealer and non-bank affiliate of Fidelity. With the exception of our clearing broker/introducing broker relationship with NFS, we have no material relationships with any of the venues referenced in the NFS reports. We do not receive any compensation or payment for order flow. The SEC Rule 606 requires broker dealers that route orders in certain equity and option securities to make available quarterly reports that present a general overview of their routing practices. If you would like to obtain further information regarding the primary market centers selected by NFS to handle orders, you may access NFS’s quarterly “Order Routing Report” by accessing this web link
(Public Disclosure – SEC Rule 606 Reports).
FINRA Brokercheck
Please note that we cannot accept or execute a securities transaction using instructions received via email.
Securities products and services offered through M.E. Allison & Co., Inc. a registered broker/dealer. Member FINRA/SIPC.
950 E. Basse Rd., Second Floor
San Antonio, Texas 78209
Telephone (210) 222-0111
Facsimile (210) 222-0216
M.E. Allison & Co., Inc. archives and reviews both outgoing and incoming electronic correspondence. Such correspondence may be required to be produced to the SEC or other regulators in a criminal investigation or in civil litigation. This is not an offer or solicitation of an offer to buy or sell any security investment or other product. Any opinion or estimate constitutes that of the sender only, and is subject to change without notice. E-mail transmission cannot be guaranteed to be secure or error-free. The sender does not accept liability for any errors or omissions in the contents of this message which arise as a result of e-mail transmission. Any review, re-transmission, dissemination or other use of or taking of any action in reliance upon this information by persons or entities other than the intended recipient is prohibited. If you received this in error please contact the sender and delete the material from any computer.
For your protection, do not include account numbers, social security numbers, passwords, or other non-public information in any e-mail. Email communications may contain viruses or other defects. M.E. Allison & Co., Inc. does not accept liability nor does it warrant that email communications are free of viruses.
Please note neither M.E. Allison & Co., Inc. nor its representatives provide legal or tax advice.
