Grant Bettingen, Inc (GBI) is a broker-dealer and member of FINRA and is not a self-clearing firm.  Thus, GBI relies heavily on our two clearing firms Penson Financial Services “Penson” and Wedbush Morgan Securities “Wedbush” in the event of a significant business disruption. 

FINRA Rule 3510 requires each member firm to create and maintain a business continuity plan.  In accordance with this rule, GBI has developed a plan to ensure that business continues to run uninterrupted during business emergencies. 

Disclosures of order routing practices. (Rule 606)

WEDBUSH

PENSON

ANTI-MONEY LAUNDERING (AML) PROGRAM