Disclosures & Legal Notices

Last updated: [November 18, 2025]

Alamo Capital is committed to providing transparent information about our regulatory status, clearing relationships, business continuity planning, and important investor disclosures. This page summarizes key notices required by FINRA, the SEC, SIPC, and industry regulations.


Regulatory Memberships

FINRA Membership

Alamo Capital is a member of the Financial Industry Regulatory Authority (FINRA).
You may learn more about FINRA at www.finra.org.

SIPC Membership

Alamo Capital is a member of the Securities Investor Protection Corporation (SIPC).
SIPC protects securities customers of its members up to $500,000 (including $250,000 for claims for cash).
More information about SIPC is available at www.sipc.org.

BrokerCheck

Check the background of this firm on FINRA’s BrokerCheck.
https://brokercheck.finra.org


Clearing Relationship

RBC Correspondent Services

Alamo Capital is a fully disclosed introducing broker-dealer. Our brokerage accounts are cleared and carried by:

RBC Correspondent Services
A division of RBC Capital Markets, LLC
Member NYSE/FINRA/SIPC

RBC provides trade execution, clearing, custody, and certain account support services for Alamo Capital brokerage clients.

Clearing of Transactions Information

Additional details about our clearing arrangement are available here.


Order Routing (Rule 606) Disclosures

SEC Rule 606 Reporting

In accordance with SEC Rule 606, information regarding the routing of customer orders is available through our clearing firm, RBC Correspondent Services.

You may access the most recent Rule 606 reports here.


Business Continuity Plan

Continuity of Operations

Alamo Capital maintains a Business Continuity Plan (BCP) designed to address the continuation of critical business functions in the event of a significant business disruption. The plan outlines processes related to:

  • Backup facilities and data recovery

  • Communications with customers and regulators

  • Operational continuity and financial obligations

  • Emergency contact protocols

A summary of our BCP is available here.


Regulation Best Interest (Reg BI)

Disclosure Brochure

Alamo Capital’s Regulation Best Interest Disclosure Brochure describes important information about:

  • Material conflicts of interest

  • Fees and costs

  • Brokerage and advisory services

  • Standards of conduct

  • Compensation practices

You may view the full disclosure here.


Anti–Money Laundering (AML) Program

AML Disclosure

Alamo Capital maintains an Anti–Money Laundering Program designed to detect and report suspicious activity, verify customer identity, and comply with obligations under the Bank Secrecy Act and related regulations.

You may view our AML Program Disclosure Statement here.


General Risk Disclosure

Investment Risks

Investing in securities involves risk, including the potential loss of principal. Market conditions, interest rates, economic events, and other factors may affect investment performance. Past performance is not indicative of future results.

Nothing on this site should be interpreted as:

  • a guarantee of future performance

  • personalized investment advice

  • a recommendation to buy or sell any security


No Tax or Legal Advice

Important Notice

Information on this website is not intended to provide, and should not be construed as, tax or legal advice. Clients should consult independent tax or legal professionals regarding their personal circumstances.


Website Policies & Legal Terms

Privacy & Cookie Policy

To learn how we collect, use, and protect personal information, please review our Privacy Policy.

Terms of Use

Use of this website is governed by our Terms of Use, available here.


Legal Disclaimer
Please Read Carefully

This Web site is provided for your use, conditioned on your acceptance without modification of the terms, conditions and notices contained herein. Your use of this Web site constitutes your agreement to all such terms, conditions and notices. Alamo Capital may at any time change or modify the terms and conditions applicable to your use of this Web site, or the any aspect or feature of the Web site itself. Materials provided on or through this Web site are for general information only, and do not constitute investment advice. Under no circumstances do Alamo Capital, its affiliates or their employees render advice or recommendations concerning the nature or the potential value or suitability of any security, transaction or investment strategy. Alamo Capital suggests that you consult with your tax or financial adviser with respect to your individual situation.

This Web site is for your personal and non-commercial use. You may not modify, copy, distribute, transmit, display, perform, reproduce, publish, license, create derivative works from, transfer, or sell any information, products or services obtained from this Web site.

Stock quote and financial market information provided on this Web site has been independently obtained through sources believed to be reliable. However, such information may include inaccuracies, errors or omissions. Neither Alamo Capital, its affiliates, information providers or content providers shall have any liability to you or third parties for the accuracy, completeness, timeliness or correct sequencing of information available on this Web site, or for any decision made or action taken by you in reliance upon such information, or for the delay or interruption of such information.

Alamo Capital and its affiliates make no warranties with respect to the accuracy, timeliness or suitability of the content of other services or sites to which the screens of this Web site link. By providing access to other Web sites, neither Alamo Capital nor its affiliates is endorsing or recommending the site; services or products offered or described thereon; the accuracy, completeness, suitability or any other characteristic of the content of the site; the organization sponsoring the site; nor the purchase or sale of securities issued by such sponsor.

ALAMO CAPITAL, ITS AFFILIATES, INFORMATION PROVIDERS AND CONTENT PROVIDERS SHALL HAVE NO LIABILITY FOR INVESTMENT DECISIONS OR OTHER ACTIONS TAKEN OR MADE BY YOU BASED ON THE INFORMATION PROVIDED ON THIS WEB SITE. THE STOCK PRICES, FINANCIAL MARKET INFORMATION AND OTHER INFORMATION AVAILABLE ON THIS WEB SITE IS PROVIDED ON AN “AS IS” BASIS WITHOUT WARRANTIES OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING (BUT NOT LIMITED TO) WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, TITLE OR NON-INFRINGEMENT. IN NO EVENT WILL ALAMO CAPITAL, ITS AFFILIATES, INFORMATION PROVIDERS OR CONTENT PROVIDERS BE LIABLE TO YOU OR ANY THIRD PARTY FOR ANY DIRECT, INDIRECT, CONSEQUENTIAL, INCIDENTAL, PUNITIVE OR SPECIAL DAMAGES (INCLUDING BUT NOT LIMITED TO LOST PROFITS) ARISING OUT OF OR IN ANY WAY CONNECTED WITH THE USE OF THIS WEB SITE, OR WITH THE DELAY OR INABILITY TO USE THIS WEB SITE, OR FOR ANY INFORMATION, PRODUCTS OR SERVICES OBTAINED THROUGH THIS WEB SITE, WHETHER BASED IN CONTRACT, TORT, STRICT LIABILITY, OR OTHERWISE, EVEN IF ALAMO CAPITAL, ITS AFFILIATES, INFORMATION PROVIDERS AND/OR CONTENT PROVIDERS HAS BEEN ADVISED OF THE POSSIBILITIES OF DAMAGES.

Some states do not allow certain limitations on implied warranties, or the exclusion or limitation of incidental, consequential or other damages, so that these disclaimers and limitations may not apply to you.

Interest from tax-free municipal bonds is exempt from federal income taxes. Dependent upon the investor’s primary state of residence, interest earned from certain municipal bond issues may be subject to state and local taxes. Please consult with a financial professional.


Contact Information

For questions regarding these disclosures or regulatory information, please contact:

Alamo Capital
201 N. Civic Drive, Suite 180
Walnut Creek, CA 94596
Phone: (925) 472-5700
Toll-Free: (800) 645-5560
Email: information@alamocapital.com