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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 service providers who perform marketing services on our behalf or pursuant to a joint marketing agreement with another financial institution.
  • Service providers may only access and use your information to provide the services under their agreement with us.

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 also require that service providers return or destroy your confidential information when no longer required.

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 BUCKLER only opens accounts of “persons” that are either registered broker-dealers or accounts of Institutions. An institutional account means the account of a bank, savings and loan association, insurance company, registered investment company, registered investment adviser or any other person (whether a natural person, corporation, partnership, trust or otherwise) with total assets of at least $50 million.

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 ( principal 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.

For certain accounts we may ask for information that allows us to verify the identity of certain beneficial owners. We may request information that includes:

  • The names of persons authorized to act on the institution’s behalf and proof of such authority.
  • For beneficial owners and other persons authorized to act on behalf of the institution, their name, date of birth, driver’s license, passport, or other information that allows us to verify identity.

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

Payment for Order Flow

BUCKLER may receive remuneration for directing orders to a particular broker or dealer and may route orders to market centers, including national securities exchanges, alternative trading systems, electronic communications networks, and broker-dealers that may offer credits for certain types of orders while assessing fees for other types of orders. In some cases, the credits offered by a market center may exceed the charges assessed, such that a market center may make a payment to BUCKLER in relation to orders directed to such market center. Any such remuneration is considered compensation to us. The source and amount of any compensation received on behalf of your orders is available upon written request.

Section 311 Notices (Prohibited Accounts)

Pursuant to U.S. regulations issued under Section 311 of the USA PATRIOT Act, BUCKLER is prohibited from establishing, maintaining, administering or managing a correspondent account for, or on behalf of certain entities who are subject to special measures. A correspondent account means an account established for a foreign financial institution to receive deposits from, or to make payments or other disbursements on behalf of, the foreign financial institution, or to handle other financial transactions related to such foreign financial institution. A list of entities subject to Special Measures may be viewed at: https://www.fincen.gov/resources/statutes and-regulations/311-and-9714-special-measures.

You may not provide any of the entities subject to Special Measures or their subsidiaries with access to the account(s) that you hold with us. If we become aware that one of these entities or any of their subsidiaries is indirectly using the account that you hold with us, we will be required to take appropriate steps to prevent such access including, where necessary, terminating your account(s).

Terms of Use

By accessing and using this website, you are accepting and agreeing to be bound by and comply with the Terms of Use (the “Terms”) in effect on the date(s) the website is accessed by you. If you do not agree to these Terms, please refrain from accessing or using the website. The Terms may be changed from time to time, without prior notice. The amended Terms shall automatically become effective immediately after they are posted. You should review the most current version of the Terms each time you visit the website.

Use of the Website

This website does not, and it is not intended to, provide any financial, investment, retirement planning, insurance, legal, accounting, or tax advice. The website should not be used or relied upon by you as a substitute for your independent research or professional advice. Nothing in this website constitutes an offer to sell or a solicitation of an offer to buy any security or any investment product or service. Your use of the website shall be on an “as is” basis entirely at your risk. Neither BUCKLER, nor any officer, director, or employee or authorized agent thereof, shall be liable or responsible to any person for any harm, loss or damage that may arise in any connection with your use of the website, including without limitation any direct, indirect, special, third party, or consequential damages.

TO THE FULLEST EXTENT PERMISSIBLE PURSUANT TO APPLICABLE LAW, BUCKLER DISCLAIMS ALL WARRANTIES, INCLUDING, BUT NOT LIMITED TO, ANY WARRANTY OF NON-INFRINGEMENT OF THIRD-PARTY RIGHTS AND ANY IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. BUCKLER DOES NOT WARRANT THE ACCURACY OR COMPLETENESS OF THE INFORMATION, LINKS OR OTHER ITEMS CONTAINED ON THIS WEBSITE AND EXPRESSLY DISCLAIMS ALL LIABILITY FOR ERRORS AND OMISSIONS IN THESE MATERIALS.

Website content

The information contained on the pages of this website is subject to modification and update from time to time without notice. All content is presented as of the date published or indicated, and may be superseded by subsequent market events or for other reasons.

The content contained on this website is owned, controlled and licensed by or to BUCKLER and its affiliates and is protected by applicable copyright, trademark and other intellectual property laws. You may not copy, reproduce, republish, upload, post, publicly display, distribute, sell or publish the content for any commercial use without BUCKLER’s express prior written consent.

Recording of Telephone Conversations

You acknowledge and agree that BUCKLER may monitor or tape record any telephone conversation between you and BUCKLER without further notice or disclosure, without the use of an automatic tone warning device, and without assuming responsibility to make or retain such tape recordings. You acknowledge and agree that BUCKLER may use or disclose any such tape recording, in accordance with applicable law, for BUCKLER’s business purposes.