Our Commitment to our Customers

July  31, 2019

As part of World Capital Brokerage, Inc.’s ongoing commitment to our customers we have published two documents that explain in detail how we treat your personal information and what you should do in the event that something should happen that would disrupt normal business operations.

In accordance with SEC and FINRA requirements we have also published our Audited Statement of Financial Conditions.

Business Contingency Plan Business Contingency Plan (105 KB)

Conflicts of Interest Conflicts of Interest (98 KB)

Form CRS - Fee Schedule Form CRS - Fee Schedule (601 KB)

Form CRS - World Capital Brokerage, Inc. Form CRS - World Capital Brokerage, Inc. (187 KB)

Form CRS - World Capital Brokerage, Inc. / Investment Research Corp. Form CRS - World Capital Brokerage, Inc. / Investment Research Corp. (231 KB)

Privacy Notice Privacy Notice (117 KB)

Regulatory Notice 16-18 - Issues to Consider when your Broker Dealer Changes Firms Regulatory Notice 16-18 - Issues to Consider when your Broker Dealer Changes Firms (83 KB)

Statement of Financial Conditions - 2018-2019 Statement of Financial Conditions - 2018-2019 (1383 KB)

If you prefer to receive copies via U.S. Mail, please call us at 888-742-0631 and they will be mailed to you free of charge.

Additionally we wanted to inform you that World Capital Brokerage, Inc. is a member of the SIPC. You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at (202) 371-8300 or on the web at www.sipc.org.

If you have questions, or if any of your personal information has changed, please contact us at (888) 742-0631. Making sure we have correct account holder addresses, tax, information as well as up to date beneficiary information is very important to us being able to serve you as best we can.

Important Links


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