The following pages contain information that must be displayed per federal regulations. They are boring, but if you want to understand them, call and ask us. Form CRS is an informational flyer that explains what types of fees we might collect and how those may present conflicts of interest. The Business Continuity Disclosure describes what happens in the event of a business disruption. Our Privacy Policy provides assurance that we don't give your information to anyone beyond what's necessary to transact business (e.g., to send a wire, we need to give your account information). Then there are the two reports at the end: the Quarterly Order Routing Report and the Rebate Schedule which pertains to order flow on certain transactions. Last are a list of fees that could be associated with certain business requests, essentially supplementing what's on form CRS.
CRS
Business Continuity Disclosure
Shearman, Ralston Inc. is a registered Broker Dealer and a member of FINRA and SIPC. See BrokerCheck. This website is not an offer or solicitation in any jurisdiction where we are not authorized to do business.
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