Regulatory Information

In accordance with the final ruling by the Department of Treasury and the Securities and Exchange Commission to implement Section 326 of the USA Patriot Act, GBS Financial Corp. has developed a Customer Identification Program, which it will use to verify the identity of any person seeking to open an account, to the extent reasonable and practicable.

GBS Anti Money Laundering Policy and Customer Identification Program

GBS Privacy Policy

Letter of Intent Disclosure Statement

Mutual Fund Breakpoint Disclosure Statement

GBS Statement of Business Continuity

GBS Business Continuity Plan

GBS ADV Part II

GBS ADV Part II Schedule F

Margin Disclosure Statement 

Day Trading Disclosure Statement

ORDER ROUTING & BEST EXECUTION

SEC Rule 605 & Rule 606 mandates that we offer our order routing arrangements with a venue breakdown. For more information on your order, with the venues of where your specific equity/option orders were routed please click on the appropriate link below.

For information please contact your broker.

J. P. Morgan Clearing Corp:
J.P. Morgan Execution

Empire Financial Group: Order Routing:

Once you are in the website, you must choose "Empire Financial Group" from the drop down box.

Wedbush Morgan Securities:
NYSE Execution
Nasdaq Securities
AMEX/Others
Listed Options

GBS Financial is a registered broker dealer and Member of FINRA/SIPC. In this regard, this communication is strictly intended for individuals residing in the states in which GBS Financial is registered. You may contact any of our offices to obtain a list of such states. THE INFORMATION CONTAINED IN THIS SITE SHALL NOT CONSTITUTE AN OFFER TO SELL OR A SOLICITATION OF AN OFFER TO BUY ANY OF THE SECURITIES LISTED HEREIN IN ANY JURISDICTION TO ANY PERSON TO WHOM IT IS UNLAWFUL TO MAKE SUCH AN OFFER OR SOLICITATION IN SUCH JURISDICTIONab