Terms and Conditions

Winning Points Advisors, LLC

Terms and Conditions of Use of Site
(and other important stuff…)

The information provided on this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Winning Points Advisors, LLC or its affiliates to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site constitutes a solicitation or offer by Winning Points Advisors, LLC or its affiliates to buy or sell any securities, futures, options, insurance, annuities, or other financial instruments or provide any investment advice or service. Nor does visiting this site or other affiliated sites of Winning Points Advisors, LLC, set a standard or duty on the part of Winning Points Advisors, LLC to provide user or visitor, service, advice, updates regarding any information, content (past or present), or concepts that are discussed. From time to time we may advertise our or our affiliates’ products or services on this site and as such may receive ad revenue profits or affiliate business from this activity.

Disclaimer of Warranty and Limitation of Liability

The information on this site is provided "AS IS."  Winning Points Advisors, LLC does not warrant the accuracy of the materials provided herein, for any particular purpose and expressly disclaims any warranties of merchantability or fitness for a particular purpose. Winning Points Advisors, LLC or its associated affiliates, solicitors, custodians, advertisers or service providers will not be responsible for any loss or damage that could result from interception by third parties of any information made available to you via this site.  Although the information provided to you on this site is obtained or compiled from sources we believe to be reliable, Winning Points Advisors, LLC cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose. Neither Winning Points Advisors, LLC, nor any of its affiliates, directors, officers or employees, nor any third party vendors, including those referred to above,  will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this site, or resulting from the act or omission of any other party involved in making this site or the data contained therein available to you, or from any other cause relating to your access to, inability to access, or use of the site or these materials, whether or not the circumstances giving rise to such cause may have been within the control of Winning Points Advisors, LLC or of any vendor providing software or services support.  In no event will Winning Points Advisors, LLC, its affiliates or any such parties be liable to you, in any capacity, for any direct, special, indirect, consequential, incidental damages or any other damages of any kind, even if Winning Points Advisors, LLC or any other party have been advised of the possibility thereof.  Any statements on this site and related publications are the opinions of the author and are not represented to be accurate or factual in anyway.

Copyright or Other Notices

If you download any information or software from this site, you agree that you will not copy it, nor will you remove or obscure any copyright or other notices or legends contained in any such information.

Use of Links

Should the viewer leave this site via a link contained herein, and view content that is not provided by Winning Points Advisors, LLC, the viewer does so at his/her own risk.  The content to which you link will not have been developed, checked for accuracy, or otherwise reviewed by Winning Points Advisors, LLC.  Winning Points Advisors, LLC is not responsible for damages or losses caused by any delays, defects or omissions that may exist in the services, information or other content provided in such site, whether actual, alleged, consequential or punitive.  Winning Points Advisors, LLC hereby expressly makes no guarantees or representations as to, and shall have no liability for, any electronic content delivered by any third party, including, without limitation, the accuracy, subject matter, quality or timeliness of any electronic content. Should you transfer by web link to another site you will then be subject to that site’s security measures, privacy policies and terms and conditions, none of which can or shall be interpreted to soften or reduce the disclaimers in this notice and elsewhere on this site.

States In Which We Do Business

The information contained within this website, and services provided by this company, are intended only for use within the states in which we do business. For a complete list of the states in which we are licensed to do business, please contact our office.

Business Continuity Plan Summary

At Winning Points Advisors, LLC we recognize how heavily our clients rely on our systems and services.  We also recognize that the unexpected can and does occur, from simple situations to major outages.  Our business continuity plan is subject to modification.  Updated plans will be posted on our web site. Alternately, our customers may obtain updated plans by requesting a written copy of the plan by mail.

Winning Points Advisors, LLC’s plans include the ability to recover from situations including, but not limited to, unplanned evacuations, power outages, major water leaks, fire, loss of water, severe weather, and any facilities’ failures that may cause business interruption.  Features of our Business Continuity Plan include annual reviews of the following:

  • Identification of all mission critical systems, and system backup and recovery for such systems
  • A review of financial and operational risks
  • Alternate communications between Winning Points Advisors, LLC and our clients
  • Employee safety strategies and communications
  • Systems and telecommunications accessibility
  • Alternate physical site location and preparedness

Contingency Planning and Business Recovery

Our policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business.  In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities.

There are two types of SBD’s, internal and external.  Internal SBD’s affect only our firm’s ability to communicate and do business, such as a fire in our building.  External SBD’s prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a hurricane, a flood, or a wide-scale regional disruption.  Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our clearing firm.

Business Description

Winning Points Advisors, LLC is a Registered Investment Advisory firm.  As such we act in a fiduciary capacity for our clients. The majority of our clients’ assets are held at TD Ameritrade Institutional, which allows us access to the account, as directed by the clients.  We do not have possession of client funds.

Alternative Physical Location

In the event of an SBD that necessitates evacuation, we will move our staff from any affected offices to another facility near our current operations at 129 NW 13th Street, Suite D-26, Boca Raton, FL 33432.

Processing Transactions during an SBD

In the event of an SBD, you will be contacted by Winning Points Advisors, LLC with instructions for processing your funds and securities transactions.  In the event that you are unable to contact your representative, you may visit our web site at www.thewinningpoints.com or telephone Charles Stoll, Manager, at (561) 239-0004.

If you are unable to contact Charles Stoll, and your account is carried by TD Ameritrade, you may call TD Ameritrade Institutional customer service line (800) 431-3500 to receive instructions from TD Ameritrade Institutional (or the vendor of any particular product that you may own away from TD Ameritrade Institutional) as to how to access funds and securities.

If any of this is unclear, or you would like a further explanation, please feel free to contact us!

Winning Points Advisors, LLC
129 NW 13th Street D-26
Boca Raton, FL 33432
(561) 367-9111
(800) 950-9112
(Fax) (800) 950-7312