Customer Information and Privacy Policy

Strategas Securities, LLC DBA Strategas Research Partners recognizes the importance of safeguarding the confidentiality and security of information we collect from our customers. To help the government fight the funding of terrorism and money laundering activities, federal law, including the Patriot Act and Anti-Money Laundering regulations, requires all financial institutions to obtain, upon request, information that identifies persons or entities opening accounts. Strategas strives to protect the confidentiality and security of customer information and does not disclose non-public personal information to any non-affiliated third party, except when that may assist us in servicing your account or to the extent required by law or regulatory requirements. We may from time-to-time disclose your non-public personal information between our affiliates in the normal course of business operations with the requirement to hold your information confidential and to comply with this privacy policy.

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 ( You agree to accept posting of a revised customer privacy notice electronically on the web site as actual notice to you.

Contacting Us

If you have any questions or wish to discuss our firm’s Customer Information and Privacy Policy in greater detail, please contact our Compliance Department at (212) 906-0130.

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.

Contacting Us

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

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 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.

Index Disclosures

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 in this 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.

International Disclosures

This communication produced by Strategas Securities, LLC is directed only at persons who are considered as investment professionals for purposes of Article 19 of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the "FPO"). Investment professionals are certain defined persons in Article 19 the FPO who have professional experience in matters relating to investments. Any investments or investment activities to which this communication relate are available only to investment professionals or will only be engaged in with such persons. Persons who do not have professional experience in matters relating to investments should not rely on this communication.