Regulatory Disclosures 2019-05-29T11:53:25+00:00

User Disclosure

The Asgard Site is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced in the Site. Offers can only be made where lawful under applicable law and by prospectus or offering document. If you wish to learn more about information contained on the Site, you may contact an Asgard Investment Banker.

Any quotations or information provided on this Site may be delayed by financial exchanges or information providers and may not reflect the prices at which the quoted securities may be bought or sold. You should not make any decisions to buy or sell securities based on such quotations or other information accessed by or through our Site.

The financial market information accessible through this Site, including quotes, price charts and other financial market data has been independently obtained through third party sources and other third-party information providers or from various securities markets such as stock exchanges and is believed to be reliable. The accuracy, completeness, timeliness or sequencing of the information is not guaranteed by Asgard, its affiliates or any persons transmitting the information. There is no warranty of any kind, express or implies, regarding the information accessed by or through this Site. Asgard or its affiliates shall not have any responsibility for direct, indirect, consequential, special or other damages you may incur by relying upon the information contained in this Site or for delays or errors in the transmission or delivery of any part of the information.

 

Business Continuity Disclosure Statement

Asgard Securities, LLC (“Asgard Securities”) has created and maintains a business continuity plan which identifies our procedures relating to an emergency or significant business disruption that are reasonably designed to enable us to meet our existing obligations to our customers. Our business continuity plan addresses how we will continue to operate our business in the event of a future significant business disruption and how we plan to respond to events of varying scope.  We will conduct an annual review of our plan to determine if any updates to the plan are needed in light of any changes to our member’s operations, structure, business or location. The firm’s plan addresses the following key areas:

(1)              Data back-up and recovery (hard copy and electronic);
(2)              All mission critical systems;
(3)              Financial and operational assessments;
(4)              Alternate communications between the member and its customers;
(5)              Alternate communications between the member and its employees;
(6)              Alternate physical location of employees;
(7)              Critical business constituent, bank, and counter-party impact;
(8)              Regulatory reporting; and,
(9)              Communications with regulators.  A copy of the Firm’s Business Continuity Plan Disclosure Statement is available to customers upon request or at the time an account is opened.

The emergency contact information for Asgard Securities, LLC includes designation of two emergency contact persons including:

Nicholas Desjardins, CEO, 646 867-7264 (work), 917 328-6664 (cell)
ndesjardins@asgardsecurities.com (work email)

Karen Steighner, CCO/FinOp (303) 795-0400 (work), (303) 919-4264 (cell)
ksteighner@complianceadvisers.com (work email)

These names will be updated in the event of a material change, and our Executive Representative will review them within 17 business days of the end of each quarter.