Westrock Capital Management, Inc. is registered with the Securities and Exchange Commission ("SEC") as a retail broker-dealer. The company is not a registered investment advisory firm. As a retail Brokerage firm as oppose to investment advisory services, Westrock charges trading commissions instead of advisory fees which is a unique feature of investment advisory firms. This Client Relationship Summary provides details about our brokerage firm’s commissions, fees, and other important information.
What investment services and advice can you provide me?
Westrock offers only brokerage services to its retail investors. Westrock’s principal brokerage services include buying and selling securities. The company does not offer recommendations to its clients. Westrock does not provide any investment advisory services including, for example, financial planning or wrap fee programs to its retail investors.
Monitoring: Westrock does not provide account monitoring service. However, registered representative acts as financial advisor and in general monitor client activities and communicates with clients as and when necessary (example: change of address, account information, buy and sell securities on unsolicited basis). Westrock charges commissions on trades and monitors to make sure it does not go above FINRA 5% guideline.
However, Westrock voluntarily review the holdings of its retail customers’ accounts for the purposes of determining whether to provide a recommendation to the customer. This voluntary review is not considered to be “account monitoring,” and not meant to create an implied agreement with the customer to monitor the account.
Investment Authority The investor makes the decision regarding the purchase or sale of investments. In certain situations, financial advisor may act on a discretionary basis Example: client’s check with insufficient funds or legal matters such as, court order.
Limited Investment Offerings Westrock does not participate in Investment offerings or offer any proprietary manufactured products.
Account Minimums and Other Requirements Westrock does not require any minimum balance to open or maintain brokerage accounts.
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