Disclosures

Regulatory Matters

Current Capital Securities LLC (“CCS”) provides independent financial advice on mergers, acquisitions, financings, restructurings, capital raises, and similar corporate transactions.  CCS does not conduct underwriting activities, CCS is not a retail broker-dealer, CCS does not handle customer funds or securities and does not introduce or carry customer accounts.  CCS is registered as a broker-dealer with the Securities and Exchange Commission, and  is regulated by the Financial Industry Regulatory Authority, Inc.  CCS is a member of SIPC.

The information and services provided on this website are not provided to, and may not be used by, any person or entity in any jurisdiction where the provision or use thereof would be contrary to the laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization, or where CCS is not authorized to provide such information or services.

Business Continuity Disclosure

Current Capital Securities LLC (“CCS”, “we”, or “us”) has designed a business continuity plan (“BCP”) to evaluate and manage a potential significant disruption to its business operations so that we may continue critical business functions in the event of an emergency.  Critical functions include the storage and preservation of data, alternate communications with clients and regulators, and alternate communications with employees.  Since the timing and impact of disasters and disruptions is 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.

In the event of a significant business interruption, we will assess which means of communication are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party.  For example, if we have communicated with a party by email but the Internet is unavailable, we will call them on the telephone and follow up where a record is needed with paper copy in the US mail or rapid delivery service.

The BCP was designed after reviewing the potential risks and ability to recover from key losses.  The BCP is reviewed and updated at least annually.  The BCP includes discussion of potential disruptions including loss of our office, loss of communication services, and loss of power.  Our BCP addresses: data backup and recovery; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; and regulatory reporting.

In the event of a significant disruption, it is our goal to recover from the disruption as soon as possible so that we can continue business operations.  We intend to respond to such disruptions by safeguarding our employees and property, making a financial and operational assessment, and protecting the firm’s books and records.  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.

Significant business disruptions can vary in their scope.  A disruption may affect only our firm, the building housing our offices, the New York City business district where our offices are located, the NYC metropolitan area or a larger region.  The severity of the disruption can also vary from minimal to severe.  In any disruption, we will make every effort to continue our operations from a local site when needed and expect to recover and resume business as soon as possible.  The nature of the BCP is to lessen the impact of emergencies. Because events that bring about disruptions are unpredictable, we may have no ability to restore full service in the event of failures in certain infrastructure such as utilities, communication networks, transportation, and third party providers.  We do not guarantee that we will be able to continue or resume business operations within any specified period of time under all circumstances.

For more information or if you have questions about our business continuity planning, you can contact us at:

Current Capital Securities LLC
950 Third Ave – 26th Floor
New York, NY  10022
Telephone:  212-737-3671
Attention:  Chief Compliance Officer

Customer Complaints Notice Disclosure Statement
SEC Rule 17a-3(a)(18)(ii)

Current Capital Securities LLC, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately by telephone at (212) 737-3671 or by mail at:

Current Capital Securities LLC
950 Third Avenue – 26th Floor
New York, NY 10022
Attn: Compliance Department

Information Concerning FINRA Broker Check

FINRA requires that Current Capital Securities LLC, as a member firm, notify our customers about the availability of information through the FINRA Broker Check program. To obtain a brochure or to log onto FINRA Broker Check you may use the following information: the FINRA Broker Check Hotline Number is 1-800-289-9999; the FINRA Web Site address is www.finra.org.

Current Capital Securities LLC is a member of FINRA and SIPC.  |  Disclosures
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