Excel Securities Company

Excel Securities Company: A Comprehensive Overview

1. Company Overview

Founding Date and Background

Excel Securities & Associates, Inc. was founded in 1978 in Rochester, New York. Established as a family-owned, full-service independent broker-dealer, the company has maintained its core values while expanding its service offerings to include a registered investment advisory (RIA) business.

Parent Company/Ownership Structure

Excel Securities operates as an independent broker-dealer and is not owned by any larger financial institution. This independence allows the company to provide personalized services tailored to the needs of its clients.

Headquarters Location

The headquarters of Excel Securities is located at 200 Canal View Boulevard, Suite 204, Rochester, NY 14623, USA.

Global Business Scope

While Excel Securities primarily operates in the United States, it has expanded its services to cater to a diverse range of clients, including financial advisors and individual investors. The firm focuses on providing state-of-the-art technology and operational support to enhance the trading experience.

Main Regulatory Bodies

Excel Securities is regulated by several key financial authorities, including the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). These regulatory bodies ensure that the company adheres to industry standards and practices.

2. Company History and Development

Key Milestones

Since its inception in 1978, Excel Securities has achieved several significant milestones, including the expansion of its service offerings to include a registered investment advisory division. This transition marked a pivotal point in the companys growth trajectory.

Business Expansion Journey

Over the years, Excel Securities has expanded its product offerings and technological capabilities. The firm has adapted to the changing financial landscape by incorporating advanced trading and practice management tools, enhancing its operational efficiency and client service.

Customer Base Growth

Excel Securities has steadily grown its customer base, focusing on building long-term relationships with financial advisors and individual investors. The firms commitment to personalized service and support has contributed to its reputation in the industry.

Platform Development History

Excel Securities has invested in developing a robust trading platform that incorporates modern technology and user-friendly interfaces. This platform is designed to provide clients with access to a wide range of financial products and services, making trading more accessible and efficient.

Important Awards or Recognitions Received

Over the years, Excel Securities has received various recognitions for its commitment to service quality and operational excellence. These awards highlight the firms dedication to maintaining high standards in the financial services industry.

3. Trading Services Offered

Forex Trading Options

Excel Securities offers a range of forex trading options, providing clients access to numerous currency pairs. The firm supports trading in major, minor, and exotic currency pairs, allowing investors to diversify their portfolios and take advantage of global market movements.

Stock Trading Options

Clients of Excel Securities can trade a wide array of stocks, including those listed on major exchanges. The firms trading platform facilitates easy access to stock markets, enabling clients to execute trades efficiently.

CFD Trading Products

The company also provides Contracts for Difference (CFDs) as part of its trading services. CFDs allow clients to speculate on price movements of various assets without owning the underlying asset, offering flexibility and potential for profit in both rising and falling markets.

Other Financial Instruments

In addition to forex and stock trading, Excel Securities offers trading in other financial instruments, including commodities and cryptocurrencies. This diverse range of products enables clients to tailor their investment strategies according to their risk tolerance and market outlook.

Special Services or Unique Advantages

Excel Securities prides itself on offering personalized operational support and access to world-class management teams. The firms commitment to providing state-of-the-art technology and sensible compliance policies distinguishes it from competitors, making it an attractive option for financial advisors and individual investors alike.

4. Regulatory and Legal Background

Detailed Regulatory Information

Excel Securities is subject to oversight by multiple regulatory bodies, including:

• Financial Industry Regulatory Authority (FINRA)
• Securities and Exchange Commission (SEC)
• State regulatory agencies in the jurisdictions where it operates

Legal Entity Structure by Region

The company operates as a registered broker-dealer in the United States and complies with local regulations in various states. Its legal structure allows it to provide a wide range of financial services while adhering to regulatory requirements.

Client Fund Protection Measures

Excel Securities implements robust client fund protection measures, including maintaining segregated accounts for client funds and adhering to industry standards for financial reporting. These practices ensure that client assets are safeguarded against potential risks.

Countries/Regions Served

While primarily focused on the U.S. market, Excel Securities has the capability to serve clients globally, particularly those interested in trading U.S. securities and forex markets.

Compliance History

Excel Securities has a strong compliance history, adhering to the regulations set forth by the FINRA and SEC. The firm undergoes regular audits and examinations to ensure ongoing compliance with industry standards and practices.

5. Competitive Landscape

3-5 Main Competitors

Excel Securities faces competition from several key players in the financial services industry, including:

• Charles Schwab
• Fidelity Investments
• TD Ameritrade
• E*TRADE

Positioning in the Industry

Excel Securities positions itself as a personalized, client-focused alternative to larger financial institutions. Its independent status allows it to provide tailored solutions that cater to the unique needs of its clients.

Market Differentiation Factors

The firm differentiates itself through its commitment to technology and personalized service. By focusing on enhancing the trading experience with state-of-the-art tools and operational support, Excel Securities attracts clients who value individual attention and customized solutions.

Conclusion

Excel Securities & Associates, Inc. has established itself as a reputable player in the financial services industry since its founding in 1978. With a strong focus on technology, personalized service, and regulatory compliance, the firm continues to adapt to the evolving market landscape while serving the diverse needs of its clients.

For more information on Excel Securities and its offerings, learn more.

This comprehensive overview of Excel Securities Company provides insights into its operations, history, services, regulatory framework, and competitive positioning in the market. The companys commitment to excellence and client service continues to drive its growth in the financial sector.