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Account Protection and Disclosure Information

PTI Securities is a member of Securities Investor Protection Corporation (SIPC), which protects securities customers of its members up to $500,000 (including $100,000 for claims for cash). For details, please see Since RBC Capital Markets, LLC is a member of SIPC–a nonprofit corporation funded by member securities broker-dealers–you are eligible for SIPC insurance protection. In the event of a catastrophic loss of RBC CM’s firm capital, SIPC reserve funds would be available to satisfy claims against the firm, up to $500,000 per client, including up to $250,000 in cash.

Beyond SIPC insurance, RBC carries additional insurance through Lloyd’s of London. The policy provides additional securities and cash protection up to $99.5 million per SIPC qualified account (of which $900,000 may be cash). The firm’s excess SIPC policy is subject to a maximum aggregate amount payable of $400 million.

Options involve risk and are not suitable for everyone. For information on the characteristics and risks of options, kindly refer to the risk disclosure documents entitled “Characteristics and Risks of Standardized Options” or contact PTI Securities to request a copy. Investors considering options should consult with their Tax Advisor for the tax effect of contemplated options transactions.

Note: SIPC does not cover commodity contract and options on futures. SIPC does not protect against market loss.