Our employees, acting on our behalf, are required to protect the confidentiality of information and to comply with our established policies. They may access information only when there is an appropriate reason to do so. We maintain physical, electronic and procedural safeguards to protect information. Should you cease to transact business with Strategas Research Partners and Strategas Securities, we will continue to apply the same protections to your nonpublic personal information as if you were an active client. If our privacy policies are changed, a revised customer privacy notice will promptly be posted on this website (www.strategasrp.com). You agree to accept posting of a revised customer privacy notice electronically on the web site as actual notice to you.
Business Continuity Plan
It is mandatory that all FINRA member firms develop business continuity procedures and a summary of such procedures disclose to their customers.
FINRA Rule 3510 requires that all member firms create a business continuity plan in the event of a significant business disruption. Strategas Securities, LLC, a registered broker-dealer has procedures in place should a disruption prevent personnel from gaining access to our offices. Strategas undertakes to quickly recover and resume normal business operations as soon as possible should a major disruption to business occur. Strategas undertakes to safeguard our employees and property, to make a full financial and operational assessment, to protect the firm's books and records. 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.
Please note that this is a summary of Strategas Securities' Business Continuity Plan. The Plan is subject to modification. As modifications are made to this plan, they will be posted on our website, or you may obtain an updated summary from us upon request.
If after a significant business disruption you cannot contact us as at (212) 906-0130, you should call our alternative number (203) 526-6372 or go to our web site at www.strategasrp.com.
Routing Practices Disclosure
SEC Rule 606
Rule 606 requires broker-dealers that route customer orders in equity and option securities to make publicly available quarterly reports that identify the venues to which customer orders are routed for execution. You may locate our quarterly reports required under Rule 606 on The Transaction Auditing Group's web site.. Any customers wishing to see the routing information for their particular order flow, can do so by contacting Operations@Strategasrp.com or (212) 906-0130.
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Any views or opinions presented are solely those of the author and do not necessarily represent those of Strategas. Strategas Securities is a registered broker dealer with the Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority (FINRA) and a wholly owned subsidiary of Strategas Research Partners, LLC. Strategas Research Partners, LLC and Strategas Securities, LLC, are located at 52 Vanderbilt Avenue, 8th Floor, New York, New York, 10017, United States.
This material is not intended as an offer or solicitation for the purchase or sale of any security or other financial instrument. Securities, financial instruments or strategies mentioned herein may not be suitable for all investors. Any opinions expressed herein are given in good faith, are subject to change without notice, and are only current as of the stated date of their issue. Prices, values, or income from any securities or investments mentioned inthis report may fall against the interests of the investor and the investor may get backless than the amount invested. Where an investment is described as being likely to yield income, please note that the amount of income that the investor will receive from such an investment may fluctuate. When an investment or security is denominated in a different currency to the investor's currency of reference, changes in rates of exchange may have an adverse effect on the value, price or income of or from that investment to the investor. The information contained in this report does not constitute advice on the tax consequences of making any particular investment decision. This material is not intended for any specific investor and does not take into account your particular investment objectives, financial situations or needs and is not intended as a recommendation of particular securities, financial instruments or strategies to you. Before acting on any information in this material, you should consider whether it is suitable for your particular circumstances and, if necessary, seek professional advice.
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