Policies & Legal

Email and IM Policy

Information Regarding Securities and Market Data.
Alpine Securities does not guarantee any information regarding securities issues and market data contained in an email to or from Alpine Securities, its employees, agents, or affiliates.

Orders by Email, Instant Messaging (IM) or Voice Message.
Neither Alpine Securities nor its registered representatives accept orders for securities transactions by email, IM, or by voice message. Any order transmitted by email, IM, or voice message shall be considered void. In order to ensure your representative receives correct instructions and that your representative can act on those instructions, please contact your representative by telephone.

Information Received Via Email.
Alpine Securities does not send official transaction confirmations, account statements, or 1099s via email. Any information, provided by Alpine Securities or any of its employees, agents, or affiliates, in any email or any attachment, shall not be considered an official transaction confirmation or account statement.

Email and Instant Message (IM) Security.
Alpine Securities is not responsible for any damages resulting from a third party intercepting or otherwise obtaining an email, or the information contained within an email, sent to or from Alpine Securities, its employees, agents, or affiliates. For your protection, do not include account numbers, social security numbers, credit card numbers, passwords or any other non-public information in your email or IM.

Monitoring and Confidentiality of Email and Instant Messaging (IM).
In order to comply with applicable regulations and maintain sound supervisory procedures, Alpine Securities monitors email and IM communications addressed to the firm and any of its registered representatives and employees. Alpine reserves the right to monitor such communications and does not guarantee the confidentiality of any transmission.

Alpine Securities, Inc., is a member of FINRA and SIPC.