DISCLOSURES
To review firm information, please use the following links:
CUSTOMER RELATIONSHIP SUMMARY
Brokerage and Investment Advisory services and fees differ and it is important for you to understand the differences. Free and simple tools are available to research firms and financial professions at investor.gov/CRS , which also provides educational materials about broker-dealers, investment advisers, and investing.
Click here to see Invicta’s full Customer Relationship Summary. This document provides you a summary of the types of services we provide and how you pay. We have delivered this to you either by email or through U.S. mail. If you have not received it or you wish to receive and additional copy, please call 724-553-6891.
YOUR ACCOUNT INFORMATION
ELECTRONIC DELIVERY
By providing your email you are agreeing to communicate electronically with your advisor and the firm. You may receive certain information about the firm and/or our services in electronic form.
To view the Firm’s Electronic Communications Policy, click here.
SEC RULE 606 ORDER ROUTING
All orders are sent to our clearing broker-dealers, TD Ameritrade, Schwab and RBC for routing. Invicta does not accept payment for order flow.
To read the full disclosure, click the corresponding links below.
PRIVACY POLICY
In order to conform to the Securities and Exchange Commission Regulation S-P, the following message discloses the privacy policy of Invicta. We recognize that Invicta could share nonpublic client information with outside parties. The policy of Invicta is as follows:
At Invicta, we are cognizant of the confidentiality and security of your personal nonpublic information. We may provide certain client information on an as-needed basis to participating third-party service providers. Nonpublic client information about our clients and former clients is controlled and access is restricted to firm associates on a need-to-know basis. If specific written authorization is received from a client or former client for disclosure of nonpublic client information, we will confirm the request and release the client authorized information. Invicta is a dually registered broker-dealer and investment advisor. Our policy applies to both relationships with our clients. We do not disclose any personal nonpublic client information about current or former clients except as noted in this message and permitted by law. We utilize reasonable security technologies to protect sensitive information. However, the security of this information depends in part on the security of the computer you use to communicate with us. We are not responsible for the security of your internet access services provider; you should review the security and privacy policies of your internet access services provider carefully. We are not responsible for the security or privacy of information communicated to or from such computer. Finally, you should keep any correspondence you receive (emails or any other information) confidential and in a safe place.
BUSINESS PRACTICES
CONFLICTS
Invicta has a culture which fully recognizes the duty we owe to our clients and promotes the ethos of ensuring that client’s interests are ahead of the firm’s. Where conflicts, or potential conflicts, are identified we are committed to ensuring that they are effectively and fairly managed so as to prevent these conflicts from constituting or giving rise to a material risk of damage to the interests of our clients.
To view the firm’s conflict disclosure, click here.
For conflicts regarding products and compensation, click here.
ANTI-MONEY LAUNDERING
As a result of the September 11, 2001 terrorist attacks, all financial institutions, including Invicta are subject to the USA PATRIOT Act (the “Act”). These institutions now, among other things, must verify the identity of all new investors, with certain limited exceptions, as defined in the Act. Verifying identity requires more than simply asking for information from a prospective investor. Institutions must ask for certain information and must also verify the information provided through the use of available data and/or documents. The law also requires firms to monitor and report to the government suspicious activity in investors’ accounts. All investor information remains secure and subject to our Privacy Policy. While we take great care in attempting to know our investors’ individual investment goals and objectives today, this law requires us to take additional steps to verify the identity of persons opening new accounts, including verifying the identity of prospective investors, consulting applicable government agency lists of known or suspected criminals, terrorists and terrorist organizations to determine if any of our prospective or current investors are on such list, and conducting, in certain circumstances, additional due diligence when accounts are opened, including requesting information about the source of funds deposited into such accounts. Invicta intends to comply with this and all other requirements of law, and we thank you for your assistance in meeting our obligations.