Order Execution Day Trading Margin Options FAQ Employment Opportunities Privacy Disclosure Investor Resources Location & Phone 80 Bowery Room 603 New York NY 10013 Toll Free: 800-272-7862 Phone: 212-964-6504 Fax: Please call us. E-Mail: service@colonialsecurities.com Customer Relationship Summary: Form CRS Customer Information Brochure: Customer Information Brochure Established since 1971 For almost 50 years, Colonial Securities, Inc., has been servicing our community and clients. We are a financial services firm and some of the products we offer are stocks, options, mutual funds, Exchange Traded Funds and IRA accounts. We take pride in providing personalized service catered to each of our client's specific needs and goals. We have built each relationship based on trust and integrity. We will continue to provide the same level of service and dedication to all our clients and future generations. ACCOUNT PROTECTION Colonial Securities, Inc. is a member of the Financial Industry Regulatory Authority (FINRA). Member of SIPC, which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). Explanatory brochure available upon request or at www.sipc.org. In addition, we have supplemental insurance coverage through a policy provided by a group of underwriting syndicates at Lloyd's of London. This additional insurance policy becomes available to customers in the event that SIPC limits are exhausted and provides protection for securities and cash up to an aggregate of $200 million. This is provided to pay amounts in addition to those returned in a SIPC liquidation. Note: Neither SIPC protection nor Lloyd's of London insurance protects against a loss in the market value of securities. TYPES OF SECURITIES PROTECTED - Notes, stocks, bonds, and certificates of deposit (CDs) - Money market funds organized as mutual funds - Publicly registered investment contracts or certificates of participation or interest in profit sharing agreements or oil, gas, or mineral royalties/leases - Warrants or rights to purchase, sell, or subscribe to the aforementioned securities - Cash balances (up to $250,000) maintained in an account for the purpose of purchasing securities SIPC and Excess SIPC coverage does not apply to unregistered investment contracts or any interest in gold, silver, or other commodities, commodity contracts, or commodity options. ACCOUNT PROTECTION DOES NOT INCLUDE LOSSES FROM THE RISE AND FALL IN THE MARKET VALUATION OF A CLIENT'S INVESTMENTS. The Securities Investor Protection Corporation (SIPC) is a non-profit organization established by Congress to insure client accounts against the failure of member brokerage firms. Business Continuity Plan Disclosure: BCP Summary Form CRS Search Tool: www.investor.gov/CRS Emergency Disaster Recovery Site: SBD Recovery Site Link to Financial Industry Regulatory Authority (FINRA) Link to Click Here To Visit Click Here For More Information