1. This website is a publication of Piedmont Capital. Information presented is believed to be factual and up-to-date, but we do not guarantee its accuracy and it should not be regarded as a complete analysis of the subjects discussed. All expressions of opinion reflect the judgment of the authors as of the date of publication and are subject to change.

2. Information on this website does not involve the rendering of personalized investment advice, but is limited to the dissemination of general information on products and services. A professional adviser should be consulted before implementing any of the options presented.

3. Information on this website is not an offer to buy or sell, or a solicitation of any offer to buy or sell the securities mentioned herein.

4. Hyperlinks on this website are provided as a convenience and we disclaim any responsibility for information, services or products found on websites linked hereto.

5. The images on this website are meant only to reflect random scenes of the Virginia Piedmont region and are in no way meant to suggest anything else.  In particular, persons in the images are not assumed to be connected with Piedmont Capital in any way.

6. Piedmont Capital and/or Douglas Lees has attempted to contact and obtain 'permission to publish' from all those pictured.  Anyone with questions regarding same is encouraged to contact Piedmont Capital.

7. Information on this website is directed toward U.S. residents only. Piedmont Capital is registered as an investment adviser with the Commonwealth of Virginia. Piedmont Capital only transacts business in states where it is properly registered, or is excluded or exempted from registration requirements.


 


Q: How does Piedmont Capital do business?
A: Consistent with Virginia and SEC regulations, Piedmont Capital Asset Management LLC ("Piedmont Capital) has filed and obtained permission to conduct business as a Registered Investment Advisor (RIA) through the application of a comprehensive operations document, known as a Form ADV.  Part II of the firm's Form ADV is available to potential clients upon request.


Q: Where is the Client's money?
A: Trade-PMR, Inc. has entered into an agreement with First Clearing, LLC to execute and clear securities transactions for all accounts. First Clearing will carry and maintain these accounts (as defined by SEC Securities Investors Protection Act) under the terms of the fully disclosed clearing agreement, except as may otherwise be provided in the included Client Account Agreement.

Operating under the exception of SEC Rule 15c3-3(k)(2)(ii), TradePMR does not hold or take possession of client funds or securities. To comply with this provision, funding of all accounts and payment of transactions must be made payable to FIRST CLEARING LLC (or FCC) and mailed to PO BOX 358230, GAINESVILLE, FL 32635.


Q: Who is Trade PMR?
A: TradePMR is a provider of Brokerage and Custody services to Independent Registered Investment Advisors (RIAs) and their clients. TradePMR leverages its affiliate companies, TradePMR Bank and TradePMR Retirement, to offer RIAs and their clients fee-based banking and 401k solutions.



 

 

 

 

 

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