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Securities America Financial Corporation respects, and is committed to protecting at all times, our customer related information. This Corporate Security Statement outlines the major components of the firm’s security systems and protocols. The following measures fully adhere to, and in fact often lead, financial industry norms in an effort to ensure the confidentiality, integrity and availability of our customers' information.
- Securities America’s production system architecture employs a multi-zone security design. This includes managed firewalls, vulnerability/penetration assessments, and defense in-depth, including physical, network, host and application layer controls deployed throughout the web, application and database zones.
- The firm’s production systems are hosted in a dedicated data center that provides carrier class environmental protection including access security, video surveillance, environmental controls, fire suppression, and power conditioning and backup power including battery and generator systems. The host facility meets the federal government’s DCID 6/9 requirements for classified data.
- Securities America’s customer data is protected through multi-tier application architecture with access control between each tier, and with application, database and operating system security enforcing business rule-based data access.
- The company’s security management program includes formal roles and responsibilities, a system review process, monitoring/alerting and incident response planning, staff awareness training, and internal and external audits to ensure compliance with numerous regulatory laws and information technology security standards.
Securities America’s routine regulatory and corporate audits include but are not necessarily limited to:
- Quarterly Sarbanes-Oxley Act (SOX) Audit
- Semi-Annual External Vulnerability Assessment
- Annual External Information Technology Audit
- Information Technology General Controls Audit
- Random, Periodic FINRA and SEC Audits
- Securities America’s system and platform availability is managed through fully redundant systems with local and secure off-site backup.
- The firm employs a formal development process that includes software QA and testing, peer review and release management to provide assurance of data integrity throughout the development lifecycle.
- All users who access Securities America’s production platform runs over SSL-encrypted channels and utilizes risk based authentication to protect customer information while in transit.
- Administrative access to the firm’s production platform runs over SSL and SSH-encrypted channels, with secondary authentication and role-based access. Both stringent password rules and system logging are employed to manage these channels.
The security of Securities America’s systems and customer data is a top priority in the company’s daily operations. If you have questions regarding Securities America’s corporate security and technology systems, please contact Leon M. Johnson, chief information security officer, at 800-747-6111, ext. 3301.