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Hovde, and the respective logos and other trademarks and service marks of Hovde referenced herein are trademarks and service marks of Hovde, and their respective entities that comprise Hovde. The names of other companies and third-party products or services mentioned herein may be the trademarks or service marks of their respective owners. You are prohibited from using any marks for any purpose including, but not limited to use as metatags on other pages or sites on the World Wide Web without the written permission of Hovde Group, LLC or such third party, which may own the marks.
Use of Links
Hovde Group, LLC is an investment banking and capital markets advisory firm that provides financial advisory and capital markets services. Hovde Group, LLC is a broker-dealer registered with the Securities and Exchange Commission and a member of FINRA (http://www.finra.org/) and SIPC. Hovde Global Asset Management LLC is a merchant banking firm.
The information and services provided on this web site are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where Hovde, or their respective entities comprising such group are not authorized to provide such information or services.
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Routing and Execution Disclosures Made Pursuant to SEC Rule 606
Rule 606 of SEC Regulation NMS requires broker-dealers receiving non-directed client orders to publicly disclose, on a quarterly basis, the top execution venues to which such orders are routed for execution. Broker-dealers also must disclose material aspects of the relationships they maintain with the identified execution venues. The Rule 606 statistics for Hovde are available for public review by clicking here.
FINRA Broker Check
FINRA BrokerCheck is a free tool to help investors and clients research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives. Through Broker Check, investors and clients can search for information about brokers and brokerage firms, and see information about a represenatives employment history, certifications, and licenses—as well as regulatory actions, violations or complaints you might want to know about. To search FINRA’s BrokerCheck site, visit: http://brokercheck.finra.org.
Business Continuity Disclosure Statement
Hovde Group has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our businesses. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
If, after a significant business disruption, you cannot contact us as you usually do, you should call our office location numbers at 847-991-6622 (Inverness, IL office), 312-361-1810 (Chicago, IL office) 310-535-9200 (Beverly Hills, CA office), 512-478-7575 (Austin, TX office), or go to our web site at www.hovdegroup.com.
Our Business Continuity Plan
We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our Business Continuity Plan is designed to permit our firm to resume operations as quickly as possible, in light of the scope and severity of the significant business disruption. Every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption. Our Business Continuity Plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternative physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to personnel if we are unable to continue our business.
Significant business disruptions can vary in their scope and degree depending on the nature of the affected firm activity, the buildings and/or business districts where our firm is located, the cities where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within the same business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and implement our business recovery plan and procedures and, generally, resume business by the next business day.
For more information
If you have questions about our business continuity planning, you can contact either Steven D. Hovde at 847-991-6622.