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How Your Account is Protected

To provide our customers with the peace of mind they deserve, all of our clients' accounts are protected up to an aggregate of $20 million per account. The Securities Investor Protection Corporation (SIPC) fund provides coverage for individual customer accounts up to $500,000 with a limitation of $100,000 on claims for cash. Southwest Securities supplements this basic coverage with an Excess Securities Policy purchased from a major insurance company totaling $19.5 million. This coverage does not protect against fluctuations in the market value of securities, including loss of principal on any investment or cash.

Disciplined Advisors Group is affiliated with First Financial Equity Corporation (FFEC) who was founded as an Arizona corporation in 1985. FFEC is a fully disclosed broker/dealer with transactions clearing through Southwest Securities, a subsidiary of SWS Group, Inc., in Dallas Texas, which is listed on the NYSE (SWS). SWS Group Inc. currently has $5.07 billion in assets(as of June 2007).