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Click here for Clearing/Custody Disclosure Agreement

Duncan-Williams, Inc. operates under provisions of the Securities and Exchange Act of 1934 and is a member of the Financial Industry Regulatory Authority, (FINRA), the Municipal Securities Rulemaking Board (MSRB) and the Securities Investor Protection Corporation (SIPC). Duncan-Williams, Inc. audited financial statements can be found at the following link: Audited Financial Statements.

Duncan-Williams, Inc. has entered into a clearing agreement with Pershing LLC, a member of the BNY Securities Group and a wholly-owned subsidiary of The Bank of New York, which is one of the largest providers of clearing and custodial services in the United States. Pershing LLC is a member of the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), and the Securities Investor Protection Corporation (SIPC). Audited financial statements for The Bank of New York Company, Inc. may be found at the following link: Annual Reports - The Bank of New York. Audited financial statements for Pershing LLC may be found at the following link: Statement of Financial Condition. .

In February of 2004, The Bank of New York announced that it’s wholly owned subsidiary, Pershing LLC, was among 14 industry leaders that now provide excess securities account protection through the Customer Asset Protection Company (CAPCO), a licensed New York insurance company. Through CAPCO, participating firms extend this account protection to institutional and brokerage accounts that they maintain. This excess protection allows Duncan-Williams’ clients additional brokerage account protection equal to the net equity of security positions and cash in each account. The formal announcement along with information on both Pershing LLC and The Bank of New York can be found at the following link: The Bank of New York's Pershing Unit Joins With Industry Leaders As A Founding Member of CAPCO.

Duncan-Williams, Inc. provides its customers an interactive website that allows its customers to access their Pershing accounts; access their bond accounting service (contact your Duncan-Williams, Inc. representative for your ID and password); review current financial information on the firm; and obtain current news releases and other publicity on the company. This information may be obtained at the following link: Upcoming Underwritings.

Pershing also has an interactive website that allows their customers as well as their customers’ clients to obtain current news releases and other information through various links. The recent publicity and news releases may be reached at the following link: Press Releases.

The Bank of New York, the parent of Pershing LLC, also has an interactive website whereby current press releases and other information on the bank can be obtained. The current press releases may be reached at the following link: Current Press Release List - The Bank of New York & BNY At a Glance.

DISCLAIMER: Member SIPC & FINRA. Although the above information is not guaranteed, it has been obtained from reliable sources and is believed to be accurate.