SECURITIES & INVESTMENT PLANNING COMPANY IS WELL-QUALIFIED to offer clients a wide variety of financial instruments to meet all of their portfolio requirements.

Equities
Our seasoned Financial Consultants and Trading Strategists have the information and experience to direct clients toward appropriate investment decisions. Even in declining equity markets, we strive to find the stocks that rise above the fray and out-perform the rest. We provide execution and trading services for all listed equity securities, options, over-the-counter securities, and American Depository Receipts (ADRs). Upon special request, we can serve as a market maker in NASDAQ securities.

Fixed Income
In keeping with our focus on value and special situations, Securities & Investment Planning Company offers the whole array of fixed income investment opportunities. Municipals, high yield corporates, agencies, and asset-backed securities are viewed with an eye towards finding those investments that offer greater yield without a commensurate increase in risk. Our fixed income group is staffed by specialists. They continuously comb the markets seeking those situations which might be ignored by larger firms. After matching your needs with your individual risk profile, we utilize our vast array of contacts, both institutional and private, to help you not only find the investment that's right for you, but also to obtain a competitive price. (Note: There is no central marketplace for most bonds, so best prices are achieved by calling other dealers and "shopping" around. Call the trading desk at 845-496-8097 for fixed income products.)

Options
Option trading is understood to be a higher-risk method of investment, and is not suitable for every investor. At Securities & Investment Planning Company, our skills and experience with options make us an effective resource for clients who choose to include options trading as part of their investment portfolio. From a simple covered call writing strategy that can help increase returns on stocks you already own to more speculative ratio spreading, options may be an important resource to you. However options, depending on which ones are used, may not protect against significant declines in the stock. We have found that providing pertinent information along with timely execution can deliver the critical advantage our investors deserve. (Please contact our Operations Manager by mail at our headquarters, by telephone at 973-701-8033, or by e-mail at newaccounts@siponline.com for the Options Disclosure Document "Characteristics and Risks of Standardized Options," or click on the document title to view it now as a PDF file.)

To learn more about how Securities & Investment Planning Company can put our experience with options to work for you, visit the page on Options in the Specialized Trading Services Menu.

Prime Brokerage
We are also pleased to offer prime brokerage services for our clients. Prime brokerage enables a substantial institutional or individual trader to maintain one account location consolidating assets, securities trading activity, reporting needs, and financing.

Prime brokerage services available to our clients include:

  • account consolidation and centralized custody
  • improved buying power
  • margin financing and stock lending
  • trade processing and away trade execution
  • Internet access to portfolio reports and customer statements

We support our prime brokerage clients with the same professional expertise and excellence in customer service that characterizes other aspects of Securities & Investment Planning Company.

Annuities and Life Insurance
Securities & Investment Planning Company recognizes that life insurance and annuities are a fundamental part of sound financial planning and we offer clients a wide variety of insurance products in order to meet their planning needs. Life Insurance provides cash to your family in the event of your death. Annuity contracts provide a means to accumulate assets on a tax-deferred basis and provide an income stream at retirement, while protecting your beneficiaries with a death benefit feature and giving you the option to invest in fixed return or variable markets. Variable annuity contracts generally do not protect against market risk in the sub accounts of the contract. Long-Term Care Insurance is intended to protect your assets, help maintain your independence, and allow you an array of choices as to where, when, and how care is provided. However, not everyone qualifies. A financial consultant at Securities & Investment Planning Company can help you evaluate your current and future financial picture and structure a plan that is right for you.

(Disclaimer: This material shall not constitute an offer to sell or the solicitation of an offer to buy nor shall there be any sale of these securities or insurance in any state in which such offer, solicitation or sale would be unlawful prior to registration, qualification, or approval under the securities or insurance laws of any state.)

Additional Services
Securities & Investment Planning Company can act as a broker or dealer in selling corporate bonds, variable life insurance or annuities, tax shelters or limited partnerships in primary distributions, and in retailing corporate equity securities over-the-counter.
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