Where are you located?
E1 Asset Management maintains its corporate headquarters at 44 Wall Street, New Yorks financial district. We also have branch offices located in Washington DC, and Miami, Florida.

What are your hours of operation?
Monday through Friday, 8am - 4pm Eastern Standard Time.

Who is Legent Clearing and what is your relationship to them?
Legent Clearing, LLC. acts as our clearing firm and holds all customer securities and funds. Our clearing relationship with Legent allows us to offer our clients valuable services such as online access to view accounts, and debit card/check writing privileges. You can get more information about Legent Clearing at their website, www.legentclearing.com.

Which Securities Regulatory Bodies are responsible for providing oversight?
E1 Asset Management is a member of the Financial Industry Regulatory Authority (FINRA).  FINRA is not a government organization, it is a Self Regulatory Organization.

You can search online for E1 by visiting the FINRA's website (www.finra.org) and searching for us via our CRD Number, which is 46872 or by the name/ individual CRD # of any of our registered advisors.

Can I purchase International (Non-U.S.) shares through E1? If so, how does that work?
Through Legent, E1's clients have the ability to trade on the global markets.

The shares of many large capitalization companies are available as American Depository Receipts (ADRs). However if these are unavailable or you would prefer the stock in the country of origin, options are available for those nations that enjoy diplomatic relations with the United States including (but not limited to): England, Australia, Israel, Italy, Japan, Singapore, France, Germany, Hong Kong and China.

Please ask your Financial Advisor for availability and applicable charges or contact us here.

Do you offer online account access?
Through our clearing relationship with Legent Clearing, we are able to offer client's access to view their accounts online. Clients can view balances, activity and holdings in real time. Please contact your investment professional if you are interested in being setup with online account access.

What does "agency-only" mean and how does this benefit me as an investor?
In business, the term "agency" literally means "a business or service authorized to act for others." E1 Asset Management prides itself on putting the client first;  our advisors have no hidden financial incentives to choose one investment over another. We go into the market for our clients and acquire those companies we feel will perform to meet our client's objectives. We maintain no inventory and perform no market-making activities, thereby acting solely in your best interests.

Are there any privacy issues associated with having an account at E1 Asset Management?
We take our clients' privacy concerns very seriously. We do not sell names, addresses, phone numbers or other contact information to any business listing services. As a further safeguard, all of our accounts are held in "street name" unless specifically requested otherwise.

What this means is that shares are not held in your name for public record, but are held under a number. In addition to keeping your personal or corporate information off of databases for sale, it also helps facilitate the transfer of shares at the time of sale, rather than physically exchanging certificates. Holding securities in street name is also mandatory when trading on margin or in a margin account.

Why do you need all this information (Passport, Tax Form, etc.) from me to establish an account?
E1 Asset Management understands and appreciates that it is important to be in compliance with all appropriate banking and regulatory bodies. Since September 11th, 2001 and the subsequent passage of the Patriot Act, international banking and securities laws have become far more stringent, requiring that transactions have far greater transparency for regulatory and law enforcement authorities alike. As a result of the passage of the Patriot Act clients are now required to submit a valid Government ID or Passport containing a photo and supporting documentation.

As mentioned above, our clients' privacy is paramount and such information will not be shared with any outside entities (with the exception of Federal or State authorities, pursuant to a valid subpoena).

When is settlement or when are funds due for purchases?
Our settlement times are set by the Federal Reserve in conjunction with the applicable SRO. These times can vary from next day to five business days depending on the nature of the transaction and the status of the account.

Please contact your Financial Advisor for a full schedule detailing allotted transactions and subsequent settlement dates.

What contingency or business continuity plans does E1 have in place?
As we all know in the post 9-11 and Hurricane Katrina, unforeseen calamities are unfortunately a fact of life. In the event of a disruption in the markets or our operations our first step will be to reallocate resources and personnel to a safe location. E1 maintains two undisclosed locations in the Tri-State, both outside the confines of New York City.  Both facilities enjoy state of the art technology and can comfortably accommodate our leadership and supporting personnel.

Click here to learn more about our business continuity plan > >