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People’s Securities Inc.
We help individuals and their families navigate a range of planning, investment and insurance challenges.
Practical advice. Practical solutions.
Investment and insurance options from People's Securities include a wide range of solutions. Professionally managed portfolios, self-directed investing, fixed and variable annuities, life insurance and disability insurance are all tailored to address every client’s unique needs. We'll review and structure your investments in order to help you achieve your financial objectives.
People’s Securities, Inc.
At People’s Securities, every relationship starts with a conversation; one that focuses on the things you care about most – your family, your goals and your priorities. From there, your financial advisor will help to create a strategy and team that reflects your unique objectives. Our comprehensive platform of planning, investment and insurance solutions allows us to design solutions customized to accommodate your current and future life priorities. Whether you are investing on your own or with the help of a professional, we have practical options for you.
Coming soon
Build your future with WealthBuilder from People’s United Advisors
An online investment and portfolio management solution designed to deliver simple and scientific investment solutions.
- It's SimpleYou answer five simple questions about what you’re investing for, your risk tolerance and your time horizon and we’ll recommend smart investment options tailored to your unique goals.
- It's ScientificOur solutions are built from a rules-based, systematic approach to investing. This allows for us to automatically rebalance your portfolio, when appropriate. Also, we reinvest dividends which can help maximize your earning potential.
Investment Forms
Form
Description
Use this package to apply for a Personal Brokerage without Margin or Option Trading. Please read the disclosures and customer agreement that are included with the application.
Use this package to apply for an Entity Brokerage Account. Please read the Disclosures and Customer Agreement that are included with the application.
Use this package to apply for a Brokerage Account with Margin or Margin & Option Trading. Please read the Disclosures and Customer Agreement that are included with the application.
Use this package to add Margin Trading or Margin and Option trading to your existing brokerage account.
Form
Description
Used to transfer securities from another firm to People's Securities.
Use this form to update information on your account.
Used to add an owner to an existing account.
Use this form to change your address.
This document contains detailed information about the firm's managed advisory portfolio programs.
A list of all applicable service and transaction charges.
Read this form to better understand your rollover options from an employer sponsored plan to an individual retirement account.
Details the conditions and rules under which your account is governed.
Read this form to better understand your options when transferring an IRA from another institution to a People's Securities IRA.
Details the conditions and rules under which your margin account is governed in addition to the conditions and rules outlined in the Customer Agreement.
Provides disclosures regarding your margin account.
Required to open a brokerage account for a Limited Liability Company.
Use this form to assign trading authority to another person for buys and sells. This authorization is limited to purchases and sales of securities and options.
Used to name beneficiaries on non-retirement accounts.
This forms package is used by beneficiaries to claim their share of designated TOD account (non-retirement accounts).
This disclosure form provides details regarding understanding the available cash balance investment options at People's Securities.
Complete this form to certify the foreign status of the beneficial owner for U.S. tax withholding.
Disclosures and Fees
Below are important disclosures and information on our schedule of commissions and fees.
Investor Protection
People’s Securities, Inc., is a member of the Securities Investor Protection Corporation (SIPC) and the securities of its customers are protected up to $500,000 with a limit of $250,000 for cash holdings. In addition, People’s Securities carries “Excess” SIPC coverage. “Excess SIPC” protection is offered through a group of London Underwriters, with Lloyds of London Syndicates as the Lead Underwriter. This additional insurance protects client accounts up to their net equity for loss of securities held at People’s Securities Inc., up to an overall firm aggregate of $25,000,000 over all customer accounts, subject to a maximum limit of $3,000,000 per customer in respect of securities. This additional insurance policy becomes available to customers in the event that SIPC limits are exhausted. The $500,000 SIPC limit and “Excess SIPC” protection does not guarantee the quality of the investments or provide protection against losses from fluctuating market value. Click here for a brochure with more information on SIPC.
Stop Orders in Volatile Markets
- Stop prices are not guaranteed execution prices
- Stop orders may be triggered by a short-lived, dramatic price change
- Sell orders may exacerbate price declines during times of extreme volatility
- Placing a “limit price” on a stop order may help manage some of these risks
Other Disclosures and Information
- ADV Disclosure - Managed Advisory Portfolio Programs
- Business Continuity Plan
- Certificate of Deposit Disclosure Statement
- Cost-Sharing Arrangements
- Day-Trading Disclosure
- Financial Statement
- Higher Margin Stock Requirements
- Margin Loan Rates
- Margin-Trading Disclosure
- Order-Routing Disclosure
- Schedule of Commissions and Fees
- Sweep Solutions & Rates
Disclosure
Investment and insurance products are offered through People’s Securities, Inc., a Broker/Dealer, member of FINRA and SIPC, an insurance agency and a registered investment advisor. People’s Securities, Inc. is a subsidiary of People’s United Bank, N.A. Investment products may involve risk, including possible loss of principal. Investment and Insurance Products are:
| • Not Insured by FDIC or any Federal Government Agency • Not a Deposit of or Guaranteed by a Bank or any Bank Affiliate • May Lose Value |
Business Continuity Plan - Commission & Fee Schedule - Financial Statement - Cost Sharing Arrangements - Order Routing Disclosure - Day Trading Disclosure - BrokerCheck
Disclosure
Investment products are offered through People’s United Advisors, Inc., a registered investment advisor. People’s United Advisors, Inc. is a wholly-owned subsidiary of People’s United Bank, N.A.
Investment Products are:
| • Not Insured by FDIC or any Federal Government Agency • Not a Deposit of or Guaranteed by a Bank or any Bank Affiliate • May Lose Value |
© 2019 People's United Bank, N.A.