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FAQ

FinTech only works with professional, institutional money managers. We do not handle any retail or personal accounts at the present time. All of our accounts are settled via DTC on a Delivery versus Payment (DVP) or Receive versus Payment (RVP) basis.

It is our goal to make the account opening process as efficient as possible. We simply need:

  • Account Delivery Instructions - numbers for Tax ID, DTC, Agent Bank, Customer ID, and Institution ID.
  • A signed W-9 form for proof of Tax ID.
  • A Corporate Resolution or Authorized Traders Document - a document denoting who can trade on behalf of your company.
  • Certification of compliance with anti-money laundering requirements.
If we have all of the information listed above, we can usually open an account the same day.
Yes. Because commissions are handled differently for the two accounts, we would need to establish two different accounts for you with FinTech Securities.
FinTech Securities trades equities, fixed income, and options securities.
We handle market, limit, and stop orders. We can also handle GTC orders but these need to be placed on our website or through our desk in order to manage these on an on-going basis.
FinTech trades in most primary and secondary fixed income markets including Agencies, CMOs, Corporate bonds, Certificates of Deposit(CDs), Municipal bonds, Structured Products, and US Treasuries.
  • Our commission rates vary depending upon the size and liquidity of the security being traded. We usually have a default commission rate for our clients, but that can be flexible given the nature of our clients’ varied holdings.
  • For Fixed Income, there is usually a mark up/down on the price to you. There are no additional concessions added to the total monies. The price quoted you see is the actual price to you.
We have access to Zacks and Argus research for our clients to review from our website. We also have access to hundreds of research providers on a soft dollar research basis.
We can receive orders via phone, fax, email, web, or electronic interface.
Clients can trade equities, purchase fixed income securities, view trade history, payments, and balances.
Just let us know if you want access to your account over our website and we can enable you quickly. We will need someone authorized from your firm to approve the request and we will need to know if the new login is for read-only, trading, and if there are multiple accounts needed to access.

Contacts

Who we are?

FinTech was founded in 2004 to provide streamlined and competitively priced institutional trading with world class service. We have grown significantly over that past decade and attribute our growth directly to how we build relationships with our clients.