Legal Information

Legal Information 2018-04-25T14:55:49+00:00

Disclosures

Information on SIPC

BUCKLER Securities LLC is a member of the Securities Investors Protection Corporation (SIPC). Securities in your account are protected up to $500,000. For details, please see www.sipc.org.

Investor Education

FINRA

BUCKLER Securities LLC is a member of The Financial Industry Regulatory Authority (FINRA). FINRA makes available certain information on brokers, brokerage firms, investment adviser representatives and investment adviser firms through FINRA BrokerCheck®.

Through BrokerCheck, investors can:

  • Search for information about brokers and brokerage firms
  • Search for information about investment adviser firms and representatives
  • Obtain online background reports, if available
  • Link to additional resources such as educational tools for investors

You can request a BrokerCheck report by visiting www.finra.org/brokercheck, calling the BrokerCheck toll-free Hotline at (800) 289-9999, or submitting a request by U.S. mail to FINRA BrokerCheck, P.O. Box 9495 Gaithersburg, MD 20898-9495 or by fax to 240-386-4750.

Privacy Policy

Notice of Privacy Policy and Practice

BUCKLER Securities LLC (“BUCKLER”) recognizes and respects the privacy of our clients. For purposes of this notice, the terms “client” or “clients” includes both companies and individuals who provide nonpublic personal, confidential, and/ or proprietary information to BUCKLER. We provide this notice to you so that you will know what kinds of information we collect about our clients and the circumstances in which that information may be disclosed to third parties who are not affiliated with BUCKLER.

Collection of Client Information

We collect nonpublic personal, confidential, and/ or proprietary information about our clients from the following sources:

  • Engagement agreements, subscription agreements and other forms, which may include a client’s name, address, social security number or employer identification number, information about a client’s investment goals and risk tolerance, and other information;
  • Correspondence, written, telephonic, or electronic, between a client and BUCKLER or service providers to BUCKLER.

Disclosure of Client Information

We may disclose all of the client information outlined above to third parties who are not affiliated with BUCKLER:

  • As permitted by law;
  • To perform marketing services on our behalf or pursuant to a joint marketing agreement with another financial institution.

Security of Client Information

We require service providers to BUCKLER:

  • To maintain policies and procedures designed to assure only appropriate access to, and use of, information about clients of BUCKLER; and
  • To maintain physical, electronic, and procedural safeguards that comply with federal standards to guard nonpublic personal, confidential, and/ or proprietary information of clients of BUCKLER.

We will adhere to the policies and practices described in this notice regardless of whether you are a current or former client of BUCKLER.

Business Continuity Plan (BCP)

BUCKLER Securities LLC’s Business Continuity Planning Disclosure Statement

BUCKLER Securities LLC 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 are 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 (203) 633-2225 / operations@bucklerllc.com, you should call our alternative number 772-617-6949.

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 backup 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.

Our custodial firm, Bank of New York, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our custodial firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within four hours. Your orders and requests for funds and securities could be delayed during this period. BUCKLER has obtained the BCPs for BNY and Matrix for further detail on their recovery plans.

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business as soon as possible. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business as soon as possible. In either situation, we plan to continue in business, and notify you through our customer emergency number, (516-238-5619) how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at operations@bucklerllc.com.

Customer Information Program (CIP)

Customer Identification Program Notification

Important Information You Need to Know about Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, federal law requires 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 or become a client, we will ask for your business name, address (principle place of business or local office), a government issued identification number (such as a tax identification number), and other information that will allow us to identify your business. We will ask to see your business license and/or other identifying documents.

SEC RULE 17a-3(a)(18) – Customer Inquiries

SEC Rule 17a-3(a)(18) requires our Firm to maintain a record indicating that each client or investor has been provided with a notice containing the address to which you may transmit any inquiries or complaints that you may have respecting our Firm.

Additionally, our Firm must ensure that you are provided with a notice indicating the telephone number and the address at our Firm to which such inquiries or complaints may be directed.

BUCKLER Securities LLC hereby provides the following address and telephone number to which any customer inquiries or complaints may be directed:

BUCKLER Securities LLC
5 Greenwich Office Park, Suite 450
Greenwich, CT 06831
Trading and Operations #: 203-633-2225
Compliance #: 203-633-2205