Legal & Privacy

This page contains information about business continuity planning, forms as pdfs available for download, disclosures and terms of use, certain information and disclaimers.

Hightower Securities, LLC
Business Continuity Planning

HighTower Securities, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredxible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contact Us

If after a business disruption you cannot contact us as you usually do at (312) 962-3800 you should call our alternative number (773)490-9560. If you cannot access us through either of those means, you should contact your Financial Advisor at their local office number or your custodian (National Financial, Schwab, IWS, JP Morgan, etc.) for instructions on how you may receive prompt access to information on your accounts, enter orders and process other trade-related, cash, and security transfer transactions.

Our Business Continuity Plan

We plan to quickly recover and resume business operations after a business disruption of any sort. Our first priority will be the safety of our employees and the privacy of your personal information. In addition, we will take immediate steps to safeguard our property, make a financial and operational assessment, protect the firm’s books and records, and take necessary steps to allow our customers to transact business as normal. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, dependent upon the scope and severity of the business disruption.

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firms that their objective is to restore their own operations and be able to process necessary transactions within one day. Your orders and requests for funds could be delayed during this period.

Varying Disruption

Business disruptions can vary in their scope and severity and may have only a minor impact or delay (such as a power outage of short duration). Others may be far more severe and may impact multiple HighTower office locations or a large city or regional area. We have plans in place to continue operating at nearly full capacity within 24 hours of a severe business disruption to our headquarters or within our city. If necessary, our clearing firms will be able to take your calls and process your requests with only minimal disruption to our current service levels.

For More Information

If you have questions about our business continuity planning, please contact us at (312) 962-3800.

Order Flow

Order Flow

This link provides required information on HighTower order flows.
http://www.tagaudit.com/rule6.asp?user=htjp

This PDF provides required information on HighTower order flows.

Download Order Flow (12/31/2012)

Download Order Flow (06/30/2012)

Download Order Flow (03/31/2012)

Terms Of Use

Terms of Use, Certain Information and Disclaimers

By using this website, www.hightoweradvisors.com (the “Website”), you agree to be bound by the Terms of Use and Disclaimers set forth below, which may be modified by Hightower at any time without prior notice.

More About Hightower

HighTower Holding, LLC is a privately-owned limited liability company located in Chicago, Illinois. HighTower Holding, LLC is the sole owner of HighTower Securities, LLC ("HighTower Securities"), and HighTower Advisors, LLC ("HighTower Advisors"). HighTower Securities is a broker dealer member of the Financial Industry Regulatory Authority (FINRA) (www.finra.org) and the Securities Investor Protection Corporation (SIPC), as well as a registered broker dealer with the Securities and Exchange Commission (SEC) and certain states. HighTower Advisors is a registered investment advisor with the SEC and certain states. In connection with HighTower’s business activities, broker dealer services, securities are provided through HighTower Securities, and registered investment advisory services are provided through HighTower Advisors. All references herein to “HighTower” shall mean HighTower Holding, LLC, HighTower Securities and HighTower Advisors, collectively; provided any disclosures relating to broker dealer activities shall be deemed to refer only to HighTower Securities and any disclosures relating to registered investment advisory services shall be deemed to refer only to HighTower Advisors. In addition, unless otherwise expressly stated herein, all references to persons serving as officers, directors or advisory board members refer solely to such persons serving in such capacities for HighTower Holding, LLC.

No Solicitation

This Website is for informational purposes only and does not constitute an offer to sell or the solicitation of an offer to purchase any security or investment product or services. The content of this Website is provided solely for your personal use and shall not be deemed to provide access to any particular transaction or investment opportunity. Hightower does not intend the information on this Website to be investment advice, and the information presented on this website should not be relied upon to make an investment decision.

The information provided on this Website is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Hightower, its affiliates, employees, directors, officers or agents to any registration requirement within such jurisdiction or country.

Disclaimer of Warranty and Limitation of Liability

THE CONTENT OF THIS WEBSITE IS PROVIDED “AS IS” WITHOUT WARRANTY OF ANY KIND (EXPRESS OR IMPLIED). HIGHTOWER DOES NOT ASSUME ANY OBLIGATION TO UPDATE THE INFORMATION AND DATA ON THIS WEBSITE AND DOES NOT GUARANTEE THAT IT IS ACCURATE, CURRENT, VALID, COMPLETE OR SUITABLE FOR ANY PARTICULAR PURPOSE.

HIGHTOWER MAKES NO REPRESENTATIONS CONCERNING THIS WEBSITE, OR TO ANY WEBSITES TO WHICH THIS WEBSITE MAYBE LINKED AND DISCLAIMS ALL EXPRESS, IMPLIED AND STATUTORY WARRANTIES OF ANY KIND, INCLUDING WARRANTIES OF MERCHANTABILITY, NONINFRINGEMENT OR FITNESS FOR A PARTICULAR PURPOSE, TO THE FULLEST EXTENT ALLOWED BY APPLICABLE LAW. IN NO EVENT SHALL HIGHTOWER OR ANY OF ITS AFFILIATES, MANAGER MEMBERS, MEMBERS, PARTNERS, DIRECTORS, OFFICERS, EMPLOYEES, OR OTHER REPRESENTATIVES BE LIABLE OR HAVE ANY RESPONSIBILITY OF ANY KIND FOR ANY DIRECT, INDIRECT, SPECIAL, CONSEQUENTIAL, MULTIPLE, PUNITIVE OR OTHER DAMAGES ARISING FROM INFORMATION ON THIS WEBSITE OR THE USE OF THIS WEBSITE.

Our Custodians

Charles Schwab & Co., Inc.

These materials have been independently produced by HighTower. HighTower is independent of, and has no affiliation with, Charles Schwab & Co., Inc. (“Schwab”) or Charles Schwab Bank. Schwab has not created, supplied, licensed, endorsed, or otherwise sanctioned these materials nor has Charles Schwab & Co., Inc. conducted any independent verification of the facts and representations underlying these materials.