Individual Investors :: Disclosures

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Please click here for a list of NPC Disclosures.

The Four Phases

NPC’s Privacy Policy
Preserving trust is a core value. We recognize that you expect us to protect the information you provide us and to use it responsibly. We are strongly committed to fulfilling the trust that is the foundation of your expectations. For that reason, we have adopted and adhere to the following policy regarding the privacy of your nonpublic personal information.

NPC’s Electronic Delivery of Documents Policy

NPC’s Business Continuity Plan Disclosure
FINRA Rule 4370 requires a firm to disclose to its clients how its Business Continuity Plan addresses possible business disruption in various scenarios and its response to those scenarios.

NPC’s Premier Sponsor Program and Revenue Sharing Disclosure
Because there are thousands of mutual funds available for sale in the U.S., NPC focuses on a group of some of the largest and most well-known mutual fund and insurance companies that offer a wide spectrum of investment choices.

NPC’s TPAM Premier Sponsor Program and Revenue Sharing Disclosure

NPC’s Order Routing/Best Execution Policy
At National Planning Corporation, we value the trust you have placed in us and take our responsibilities to you very seriously. Processing your trades efficiently and effectively is an integral part of the service you should expect from National Planning Corporation.

NPC’s Affiliation Disclosure

NPC’s Customer Identification Program

Understanding Mutual Fund Share Classes

NPC’s Form ADV Part 2A and Form ADV Part 2A, Appendix 1, “Wrap Fee Program Brochure

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