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NOTICES
Chatsworth Securities LLC is a registered broker-dealer and FINRA member firm (Finra.org), which provides investment banking, underwriting, private placement, merger, acquisition and divestiture services.
Disclaimer
This site is designed for informational purposes only and does not constitute a solicitation or offer by Chatsworth Securities LLC to buy or sell any securities or to provide any investment advice or service. This site shall not constitute an offer to sell or the solicitation of any offer to buy securities in any state in which such offer, solicitation or sale would be unlawful under the securities laws of such state.
Chatsworth Securities LLC and/or its employees and/or its individual shareholders and/or members of their families may have positions or warrants in the securities mentioned and may make or recommend purchases and/or sales for their own accounts or for the accounts of other customers of the firm from time to time in the open market or otherwise. Chatsworth Securities LLC, has been retained to perform investment banking services for securities mentioned herein, and has received remuneration for these services in the form of fees and warrants. Chatsworth Securities LLC has acted as placement agent for securities mentioned herein, and received remuneration for these services in the form of fees and warrants. Additionally, Chatsworth Securities LLC may attempt to raise capital for securities mentioned herein in the future and may receive remuneration for these services in the form of fees and warrants.
Privacy Policy
Chatsworth Securities LLC
Member FINRA, SIPC, MSRB
Chatsworth Securities LLC collects nonpublic personal information about you from the following sources:
Information we receive from you on applications or other forms,information about your transactions with us or others; and information we may receive from a consumer reporting agency.
If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.
Chatsworth Securities LLC restricts access to your personal and account information to those employees who need to know that information to provide products or services to you. Chatsworth Securities LLC maintains physical, electronic, and procedural safegurards to guard your nonpublic personal information.
We do not disclose any nonpublic personal information about you to anyone, except as permitted by law.
This policy will remain in effect until further notice.
For your reference, this policy has been posted to our Web site at Chatsworthgroup.com. If you have any questions or concerns, please contact us via email.
Relationship(s) With Other Financial Institutions
Chatsworth Securities LLC maintains an exclusive clearing relationship with Southwest Securities, Inc. of Dallas, Texas. It should be noted that Southwest has access to the identical information that Chatsworth Securities LLC has. You may view their privacy policy at SWST.com.
For Rule 605: Disclosure of Order Execution Information and Rule 606: Disclosure of Order Routing Information please go to SWST.com, then to Divisions then to Equity Trading and you will see the links for Rule 605 and Rule 606.
Important Information About Procedures for Opening a New Account
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 who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth, tax identification number and other information that will allow us to identify you. We may also ask to see your drivers license or other identifying documents.
Use of Links
This website may contain links to and be linked from third-party websites. These links are provided only as a convenience. The inclusion of any link is not and does not imply a sponsorship, endorsement, approval, investigation, verification or monitoring by Chatsworth Securities LLC of any information contained in any third-party website. In no event shall we be responsible for the information contained on that site or your use of or inability to use such site.
Copyright 2009 Chatsworth Securities LLC. All rights reserved. |
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