Arctic Securities UNITED STATES SECTIONS UNITED STATES Arctic Securities LLC, a US-registered broker-dealer and subsidiary of Arctic Securities AS, provides its clients with corporate and investment banking solutions. Arctic Securities LLC is registered with FINRA and is a member of SIPC. The Arctic Group is a leading, independent provider of financial services. Arctic has an extensive global network connecting clients from around the world, and the Arctic group of companies comprises investment banking services, ship- and offshore brokerage, asset management and insurance brokerage. FINRA BROKERCHECK As per FINRA Rule 2267, all customers, clients and investors are permitted to access BrokerCheck, a FINRA based tool which provides the public with information on the professional background, business practices, and conduct of FINRA-member firms and their associated persons when considering whether to work with a new investment professional or Firm. To view information about Arctic Securities LLC, please click on the following link and type in the Firms name or the individuals name or Central Registration Depository ("CRD") number to perform your search. Arctic Securities LLC's CRD is "174423". http://www.finra.org/brokercheck FINRA Telephone: (800) 289-9999 Public Disclosure FINRA P. O. Box 9401 Gaithersburg, Maryland 20898-9401 Fax: (301) 212-8137 The FINRA BrokerCheck publishes a free investor brochure that is available by contacting FINRA at the above telephone number or address. LEGAL To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you apply for or open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents. Similar identification requirements apply to business entities such as corporations and partnerships. USA Patriot Act Notice To help the U.S. government prevent the funding of terrorism and money laundering activities, Federal law requires all U.S. financial institutions to obtain, verify, and record information that identifies each individual or institution that opens an account or establishes a customer relationship with us. What this means: If you enter into a new customer relationship with us, we may ask for identification information relating to you and your related parties, including names, addresses and dates of birth (as applicable). This information will be used to verify your identity and the identities of your related parties. As appropriate, Arctic Securities LLC may, in its discretion, ask for additional documentation or information. If all required documentation or information is not provided, we may be unable to open an account or establish a relationship with you. ORDER ROUTING Beginning January 2020 under SEC RULE 606(B)(3) Arctic Securities LLC, upon request of its customer, will provide specific disclosures related to the routing and execution of the customer’s stock orders in NMS securities submitted on a not held basis for the prior six months. Request can be made to compliance.us@arctic.com or via your Registered Representative. PERSONAL DATA POLICY Please contact us on the following email address if you have any questions concerning our data processing or Personal Data Policy: Arctic Securities LLC: Dataprotection.ASecurities.LLC@arctic.com CONTACT US MAIN OFFICE LOCATION: Arctic Securities LLC 1 Rockefeller Plaza Suite 1706 New York, NY 10020 (212)597-5556 © Arctic Securities AS Cookies ; Cookie SettingsAccept all cookies