Important Legal Information
INFORMATIONAL PURPOSES ONLY
This web site (the "Site") is designed for informational purposes only and does not constitute, (i) a solicitation or offer to buy or sell any securities or other financial instrument or to provide any investment advice or service, (ii) an official confirmation of any transaction, or (iii) an official, definitive, or binding statement of Ascendiant. This web site is published in the United States, and is intended for distribution to and use by U.S. residents only.
REGULATORY STATUS
All securities transactions of Ascendiant, including those of Ascendiant Capital Group, LLC and Ascendiant Opportunity Fund - I, LLC are conducted through Ascendiant Securities LLC, a broker-dealer registered with the United States Securities and Exchange Commission (SEC), and a member of the FINRA and SIPC.
DISCLAIMER OF WARRANTY
The information provided on this site is "AS IS" and is subject to change at any time. Ascendiant does not guarantee the accuracy, validity, timelessness, completeness or suitability of any information or data made available to you on this site. Ascendiant also disclaims all warranties, expressed or implied, including, but not limited to, warranties of title, non-infringement, merchantability or fitness for a particular purpose.
LIMITATION OF LIABILITY
Ascendiant will not be liable for any damages or injuries arising out of your use of any information or data made available to you on this site, including without limitation, damages relating to any (i) error, omission, interruption, delay in operation or transmission, (ii) computer virus, (iii) failure or defect in any communication facilities, hardware or software, and/or (iv) theft and destruction or unauthorized access to, alteration of, or use of information, whether resulting in whole or in part from negligence or otherwise. The use of this web site is at your own risk.
ELECTRONIC MAIL COMMUNICATION
Please note that all electronic mail ("e-mail") communication to and from Ascendiant is subject to review and archival by the compliance administrators, principals, and government regulatory agencies of Ascendiant Securities, LLC. E-mail transmission cannot be guaranteed to be secure or error-free.
COPYRIGHTS AND TRADEMARKS
This web site contains proprietary content which is the property of Ascendiant. Except as maybe expressly authorized, no information or material contained on this site may be reproduced, transmitted, displayed or commercially exploited without written consent. "Ascendiant" is a registered trademark and service mark.
Privacy Policy
The term "Ascendiant", as used herein, shall mean and include any and all subsidiaries, parent or sister corporations, limited liability companies, partnerships or other entities or entity controlling, controlled by or under common control with said company, including, but not limited to Ascendiant Capital Group, LLC and Ascendiant Securities, LLC.
The Securities and Exchange Commission has adopted Regulation S-P, privacy rules promulgated under Section 504 of the Gramm-Leach-Bliley Act. Section 504 requires the Commission and other federal agencies to adopt rules implementing notice requirements and restrictions on a financial institution's ability to disclose nonpublic personal information about consumers.
Under the Gramm-Leach-Bliley Act, a financial institution must provide its customers with a notice of its privacy policies and practices, and must not disclose nonpublic personal information about a consumer to nonaffiliated third parties unless the institution provides certain information to the consumer and the consumer has not elected to opt out of the disclosure.
This notice, in summary form, is intended to tell you where we obtain information about you and who has access to it once it is received by Ascendiant.
Source of Information.
The information gathered about you primarily originated directly from documents that you provided us. Such information came from forms that you complete in order to receive our services and in the records that we keep pertaining to each transaction. In addition, we maintain records of each of your transactions and holdings.
Third Party Sharing of Information.
Ascendiant does not sell client information. Client information derived from the aforementioned information source may be provided to outside parties under the following conditions:
1. Processing to facilitate client business. e.g. transmission of an account and transactional information to the client's custodian. By agreement, third parties in this case are prohibited from using information about the client beyond the specified purpose.
2. As required or permitted by law or regulation. E.g. responses to a subpoena, court order or regulatory demand.
3. As authorized by Client. Client may, on occasion, direct Ascendiant to provide specific information to a third party.
Confidentiality and Security.
Ascendiant considers its clients and all information it receives from the clients to be confidential, unless the clients state otherwise. Client information will only to be handled in the manner described in this notice. Ascendiant restricts access to information about its clients to those employees and authorized agents who need to know specific information to effectively deliver products or services to that client. Ascendiant has instituted measures to ascertain confidentiality of its clients' information in compliance with federal standards.
Business Continuity Plan
To view Ascendiant Securities LLC's Business Continuty Plan, click here.
Clients are free to contact us about information with regard to client financial privacy.
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