Legal and Regulatory Information


Privacy Statement

Your privacy is important to us. The following disclosure explains what Centerboard Securities does with the personal information we collect and the steps we have put in place to protect such information. We do not sell your personal information. We may use third party service providers for our internal purposes. Any third party service providers that we may use will be bound by obligations of confidentiality not to disclose the information provided by us about our clients and may not use this information for any purpose other than performing the agreed-upon service(s). We may use the e-mail address you provide us to send information, including administrative materials, to you. We may be required by law to disclose your personal information under certain circumstances, for example in connection with a subpoena or similar legal process, a fraud investigation or an audit or examination. We maintain physical, electronic and procedural safeguards to protect your nonpublic information from access by third parties. We restrict access to information about you to those employees who are trained in the proper handling of nonpublic client information and who need access to the information to perform their job functions.


Business Continuity Summary Disclosure Statement

Centerboard Securities maintains a business continuity plan allowing the firm to continue serving clients in case of a business disruption. We will be flexible in responding to the impact of disasters and disruptions. Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternate communications with customers; alternate communications with employees; alternate physical location of employees; critical business constituent, bank, and counter-party impact; regulatory reporting; and communications with regulators. We recognize two levels of business disruptions: An internal Significant Business Disruption (SBD) affects only our firm’s ability to communicate and do business, such as a fire in our building. In the event of an internal SBD, operations will typically relocate to an alternate location within New York City. External SBDs affect the operation of the securities markets and/or a number of firms, such as a terrorist attack, a city flood or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems in the marketplace. If you cannot contact Centerboard Securities through normal channels, please check the Centerboard Securities website for alternative means of communication.

Centerboard Securities, LLC
140 West 57th Street, 11th Floor
New York, NY 10019
646.442.8700 tel
917.210.3197 fax
www.centerboardsecurities.com

Centerboard Securities’ business continuity plan is subject to change at any time, in Centerboard Securities’ sole discretion.


Regulatory Disclosures

Centerboard Securities is a FINRA Member Firm. The Financial Industry Regulatory Authority (FINRA) is the largest non-government regulator for all securities firms doing business in the United States. For more information, please visit the FINRA website at www.finra.org.

Centerboard Securities is an SIPC Member Firm. Customers can obtain information about the Securities Investor Protection Corporation (SIPC) (including the SIPC brochure) by contacting SIPC by phone at (202) 371-8300 or by visiting the SIPC website at www.sipc.org.