Legal Disclaimer
DISCLOSURES
ArcStone Securities LLC is a U.S. registered broker dealer and a member of FINRA and SIPC. Securities products and services are offered through ArcStone Securities LLC. This website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security.
All investments involve risk, including the possible loss of principal. Past performance is not indicative of future results. Nothing on this website constitutes investment advice, personalized investment advice, legal advice, tax advice, or a recommendation regarding any security, strategy, or transaction. Any references to companies, securities, or market developments are intended solely to provide general information about products and services and should not be relied upon for investment decisions.
ArcStone does not effect or attempt to effect securities transactions, nor does it provide personalized investment advice for compensation through this website. Any follow up communications that could involve securities transactions or individualized advice will only occur where ArcStone and its representatives are properly registered, exempt, or excluded under applicable federal and state securities laws.
Accessing this website does not create an advisory, brokerage, fiduciary, or client relationship with ArcStone. Registration status may vary by jurisdiction, and services are offered only where ArcStone is legally permitted to do so.
Past performance is not indicative of future results. Investing in securities involves significant risk, including the possible loss of principal.
Securities products are not FDIC insured, are not bank guaranteed, and may lose value.
Additional regulatory disclosures are provided below.
REGULATORY DISCLOSURES
ArcStone Securities LLC is registered with the U.S. Securities and Exchange Commission and is a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation.
You may verify our registration status at:
Securities products are not FDIC insured, are not bank guaranteed, and may lose value. This website may contain forward looking statements. Such statements are subject to risks and uncertainties that may cause actual results to differ materially from those projected.
Nothing contained herein constitutes investment advice, legal advice, tax advice, or accounting advice. Prospective investors should consult their own professional advisors before making any investment decisions.
FORM CRS
Customer Relationship Summary
ArcStone Securities LLC is a broker dealer registered with the Securities and Exchange Commission and a member of FINRA and SIPC.
Brokerage services and fees differ from advisory services and fees. It is important that you understand the differences.
We provide brokerage services to corporate issuers and institutional clients, including capital markets advisory, private placements, public offerings, and mergers and acquisitions advisory.
We are compensated through transaction based fees, underwriting fees, placement fees, advisory retainers, and other compensation arrangements disclosed in engagement agreements.
You can find additional information about our services, fees, and conflicts of interest by contacting us directly or visiting BrokerCheck.
Questions to Ask:
• Who is my primary contact?
• How are you compensated?
• Do you or your firm have disciplinary history?
Additional information is available at www.brokercheck.finra.org.
PRIVACY POLICY
ArcStone Securities LLC respects the privacy of its clients and website visitors.
Information We Collect:
We may collect personal information provided voluntarily through contact forms, subscription forms, or other communications. This may include name, email address, company affiliation, and other professional details. Emails are stored on our system through global relay and go into a database.
How We Use Information:
Information is used to respond to inquiries, provide requested materials, and maintain business communications.
Information Sharing:
We do not sell personal information. Information may be shared with service providers or regulatory authorities as required by law.
Data Security:
We implement commercially reasonable safeguards designed to protect information from unauthorized access or misuse.
Cookies:
This website may use cookies to enhance user experience. Users may adjust browser settings to decline cookies.
If you have questions about our privacy practices, please contact us directly.
TERMS OF USE
By accessing this website, you agree to the following terms:
No Offer or Solicitation: The content of this website is provided for informational purposes only and does not constitute an offer to sell or a solicitation to buy any security.
No Reliance: Information is believed to be reliable but is not guaranteed as to accuracy or completeness. Users should not rely solely on website content for investment decisions.
Forward Looking Statements: Any forward looking statements involve risks and uncertainties. Actual results may differ materially.
Limitation of Liability: ArcStone Securities LLC shall not be liable for any damages arising from the use of this website.
Third Party Links: This website may contain links to third party sites. ArcStone is not responsible for the content or practices of external websites.
Governing Law: These terms are governed by the laws of the United States and applicable state law.
BUSINESS CONTINUITY PLAN
ArcStone Securities LLC has developed a Business Continuity Plan designed to respond to significant business disruptions.
Our plan addresses:
• Data backup and recovery
• Mission critical systems
• Financial and operational assessments
• Alternative communication methods
• Alternate physical locations
• Regulatory reporting
In the event of a significant business disruption, we will make reasonable efforts to continue operations and communicate with clients as promptly as practicable.
For additional information regarding our Business Continuity Plan, please contact us directly.
EMAIL CAPTURE DISCLOSURE
By submitting your information, you consent to receive communications from ArcStone Securities LLC, including market commentary, corporate access invitations, and other informational materials. Communications may include updates regarding public and private capital markets activities.
Submission of your information does not create a brokerage, advisory, or fiduciary relationship. ArcStone does not provide personalized investment advice through this website.
You may unsubscribe from marketing communications at any time using the link provided in our emails.
ArcStone Securities LLC is a FINRA registered broker dealer. Registration status may vary by jurisdiction, and services are offered only where permitted by law.
Cookie Policy
This Cookie Policy explains how ArcStone Securities LLC uses cookies and similar technologies on this website.
What Are Cookies
Cookies are small text files placed on your device when you visit a website. They help websites function properly, improve performance, and provide analytical information.
Types of Cookies We Use
Strictly Necessary Cookies
These cookies are essential for the website to function properly and cannot be disabled in our systems.
Performance and Analytics Cookies
These cookies collect information about how visitors use our website, including pages visited and traffic sources. Information is aggregated and does not directly identify individuals.
Functional Cookies
These cookies enable enhanced functionality and personalization.
Marketing or Communication Cookies
If enabled, these cookies may help us measure the effectiveness of communications and website engagement.
How We Use Cookies
ArcStone uses cookies to:
• Ensure proper website functionality
• Monitor website performance and usage trends
• Improve content and user experience
• Maintain security and prevent misuse
We do not use cookies to provide personalized investment advice or effect securities transactions.
Managing Cookies
You may manage or disable cookies through your browser settings. Please note that disabling certain cookies may impact website functionality.
If required by applicable law, you will be given the option to accept or reject non essential cookies upon visiting the site.
Updates to This Policy
ArcStone may update this Cookie Policy from time to time. Updates will be posted on this page with a revised effective date.
SIPC Disclosure
ArcStone Securities, LLC is a member of the Securities Investor Protection Corporation, or SIPC. SIPC protects customers of its member broker-dealers in the event the broker-dealer fails financially. SIPC protection is limited to $500,000 per customer, including a maximum of $250,000 for claims for cash.
SIPC protection does not protect against losses resulting from market fluctuations or the decline in value of securities. For additional information about SIPC, including the SIPC brochure, please visit www.sipc.org or call (202) 371-8300.