Home Office

Thief River Falls MN

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Affiliated Entities

Polar Investment Counsel, Inc.

(hereinafter "PICI") is a Minnesota-based securities and commodities brokerage firm and investment advisory registered with and regulated by the Financial Industry Regulatory Authority , the Securities and Exchange Commission, the National Futures Association, the Commodities Futures Trading Commission, and the securities regulatory agencies of the various states.  PICI is the entity that is charged with making sure that all rules and regulations are followed.  If at any time a customer has a question or concern, they can feel free to contact the Home Office. For more information visit: www.polarinvest1.com

Southwest Securities, Inc.

(hereinafter "SWS") PICI is a non-clearing brokerage firm, which clears all of its customers' securities transactions through Southwest Securities, Inc., a Dallas-based Financial Industry Regulatory Authority and New York Stock Exchange member firm.  In layman's terms, this means that our clearing firm (Southwest Securities, Inc.) holds all of our customers' monies and securities positions.  Under no circumstances is a check for the purchase of securities ever to be made payable to PICI or to one of our brokers, but instead checks are made payable to Southwest Securities, Inc. or to some other securities firm.  For more information visit: www.swst.com

 

 

 

 

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Associates: Debbie Pittman * Tom Murphy

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