SIPC Statement

LPS Capital LLC. is a member of the Securities Investor Protection Corporation (“SIPC”), which currently protects securities customers of its members up to $500,000 (including $250,000 for claims for cash).

Additionally, our customer securities accounts are carried by our clearing firm ICBC financial Services LLC (“ICBC”), who is also a member of the Securities Investor Protection Corporation (SIPC). Our capital strength – approximately $2 million – also protects our customers. Historically, the firm has always maintained greater net capital than required by any regulatory authority.

This “Excess SIPC” protection is in addition to the protection provided by the Securities and Investors Protection Act, which is administered by SIPC, and is subject to certain conditions and limitations, details of which are available upon request. The above coverage does not protect against loss of the market value of securities.

SIPC and the supplemental policy do not cover commodity contracts and options on futures.

For more information visit or contact the SIPC offices at:

Securities Investor Protection Corporation

805 15th Street, N.W. Suite 800

Washington, D.C. 20005-2215

Tel: (202)371-8300

Fax: (202)371-6728


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