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?
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