SIPC Disclosure Notification

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SIPC provides protection to each client account and correspondent client accounts through the Securities Investor Protection Corporation (SIPC).  Funds are available to meet customer claims up to a maximum of $500,000 in cash and securities with a $250,000 cash maximum. Note: SIPC provides coverage against loss of securities and cash, not against market depreciation, fluctuation in market value of your securities or a trading loss. Information regarding SIPC, including a SIPC brochure, may be obtained by contacting SIPC via its web site at www.sipc.org or by telephone at (202) 371-8300.

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FINRA BrokerCheck

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FINRA BrokerCheck, allows investors to learn about the professional background, business practices, and conduct of FINRA member firms or their brokers. The telephone number of the BrokerCheck is (800) 289-9999, the website address is www.brokercheck.finra.org. An investor brochure is also available upon request.

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Customer Identification Program

Important Information About Procedures for doing business with Ardmore Hill, LLC, Newbridge Securities Corporation or Newbridge Financial Services Group Inc.: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who makes an investment. What this means for you: When you make an investment, we will ask for your name, address, date of birth and other information that will allow us to identify you. We will also ask to see your driver’s license or other government issued identification.

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Anti-Money Laundering Policy

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Ardmore Hill, LLC in conjunction with Newbridge Securities Corporation and Newbridge Financial Services Group Inc. has established and implemented anti-money laundering (“AML”) policies and procedures that are reasonably designed to comply with applicable AML requirements.

 

These policies, procedures and internal controls are designed to ensure compliance with all applicable BSA regulations and FINRA rules and will be reviewed and updated on a regular basis to ensure appropriate policies, procedures and internal controls are in place to account for both changes in regulations and changes in our business. The program includes, among other things, independent testing of the AML program pursuant to Section 352 of the USA PATRIOT Act and related regulations, and the establishment and operation of any customer identification program (“CIP”) required pursuant to Section 326 of the USA PATRIOT Act and related regulations.  Ardmore Hill, LLC, in conjunction with Newbridge Securities Corporation, has established and implemented policies and procedures reasonably designed to comply with sanctions administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury (“U.S. Sanctions”). We will comply with all trade and economic sanctions imposed by the U.S. Office of Foreign Assets Control against targeted foreign countries and shall cooperate fully with government agencies, self-regulatory organizations and law enforcement officials. As provided by the Act, we may supply information about former, current or prospective customers to such bodies and may refuse to open accounts for clients whose identity cannot be verified or who appear on the sanctions list.

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General Investing Disclosure

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Investing involves risk including the potential loss of principal. No investment strategy can guarantee a profit or protect against loss in periods of declining values. Opinions expressed are subject to change without notice and are not intended as investment advice or to predict future performance. Past performance does not guarantee future results. Consult your financial professional before making any investment decision.  This information is designed to provide general information on the subjects covered, it is not, however, intended to provide specific legal or tax advice and cannot be used to avoid tax penalties or to promote, market, or recommend any tax plan or arrangement. Please note that Sean Teaford, Ardmore Hill, LLC, Newbridge Securities Corp and Newbridge Financial Services Group, Inc. and their affiliates do not give legal or tax advice. You are encouraged to consult your tax advisor or attorney.

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Business Continuity Plan Summary

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We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

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If there is a disruption in service you can reach us at: (484) 754-6804 and/or via email: contact@ardmorehill.com.