Regulatory Disclosures


The information we learn from customers helps us personalize and continually improve your experience. Here are the types of information we gather.


Information You Give Us

We receive and store any information you enter on our Web site or give us in any other way. We do not sell or rent your personal information to others without your consent. We use the information we collect only for the purposes sending promotional information, enhancing the operation of our site, serving advertisements, for statistical purposes and to administer our systems. We DO NOT use third parties to provide customer service, to serve site content, to serve the advertisements you see on our site, to conduct surveys, to help administer promotional emails, or to administer drawings or contests, but reserve the right to do so in the future without advance notice.


Sharing with our Affiliates

Generational Group’s affiliates are all part of one corporate family, they work with one another and may work together to provide services to you. The sharing of your information among affiliates enables Generational Group to serve you more efficiently and makes it more convenient for you to do business with Generational Group. Generational Group is permitted by law to share information with its affiliates. All of our affiliates follow similar privacy policies.


Information from Other Sources

For reasons such as improving personalization of our service, we might receive information about you from other sources and add it to our account information.


Questions you may have regarding this notice

Please direct any questions you have to Generational Capital Markets, Inc., Attn: Brenen Hofstadter, Managing Director, 3400 N. Central Expressway, Suite 100, Richardson, TX 75080 or call him at 972-448-1000.



To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person/entity who engages our firm through a written agreement. What this means to you: When you engage our firm to market your business, we will require certain information that will allow us to identify you. We may also ask to see your taxpayer identification or social security number, employer identification number, corporate documents or other identifying documents. Our firm may also be required to obtain certification on individuals who own and who control the legal entity.



Generational Capital Markets, Inc. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 972-448-1000, you may also call Brenen Hofstadter at 972-448-1000 or alternate number at 972-448-1011.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Varying Disruptions – Significant business disruptions can vary in their scope, such as those that solely affect our firm, a building in which our firm operates, the business district where our firm is located, or the whole region, state, country or world. Within each of these areas, the severities of the disruption can also vary from minimal to severe. When applicable, we will transfer our operations to remote locations and expect to recover and resume business without delay. In any event, we plan to continue in business and inform you as to how to contact us through notification through our website, or our phone number 972-448-1000, automated forwarding of our business phone lines or automated responses sent from our email addresses with instruction. If the significant business disruption is so severe that it prevents us from remaining in business, we will notify you as quickly as practical.

Generational Capital Markets, Inc.’s business continuity plan is subject to modification. You can obtain updated information about the plan by requesting a written copy by mail. All requests for updated information should be sent to the following address: Generational Capital Markets, Inc., Attn: Brenen Hofstadter, Managing Director, 3400 N. Central Expressway, Suite 100, Richardson, TX 75080 or call him at 972-448-1000.



Please direct complaints to: Generational Capital Markets, Inc., Attn: Robert Garza, 3400 N. Central Expressway, Suite 100, Richardson, TX 75080 or call him at 972-448-1000



Customers may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at or (202) 371-8300.



The FINRA Broker Check (Public Disclosure) Program allows the public to obtain current regulatory information about FINRA member firms and registered representatives. You can obtain more information by visiting the FINRA website at: FINRA Regulation Website: or by calling: FINRA BrokerCheck Hotline Number: 1-800-289-9999. In addition, please be aware that available on the FINRA website is an investor brochure that includes information describing the FINRA BrokerCheck resource.