Legal
INFORMATIONAL PURPOSES ONLY

This web site (the "Site") is designed for informational purposes only and does not constitute, (i) a solicitation or offer to buy or sell any securities or other financial instrument or to provide any investment advice or service, (ii) an official confirmation of any transaction, or (iii) an official, definitive, or binding statement of Ascendiant. This web site is published in the United States, and is intended for distribution to and use by U.S. residents only.

REGULATORY STATUS

All securities transactions are conducted through Ascendiant Capital Markets LLC, a broker-dealer registered with the United States Securities and Exchange Commission (SEC), and member of the FINRA and SIPC.

DISCLAIMER OF WARRANTY

The information provided on this site is "AS IS" and is subject to change at any time. Ascendiant does not guarantee the accuracy, validity, timelessness, completeness or suitability of any information or data made available to you on this site. Ascendiant also disclaims all warranties, expressed or implied, including, but not limited to, warranties of title, non-infringement, merchantability or fitness for a particular purpose. 

LIMITATION OF LIABILITY

Ascendiant will not be liable for any damages or injuries arising out of your use of any information or data made available to you on this site, including without limitation, damages relating to any (i) error, omission, interruption, delay in operation or transmission, (ii) computer virus, (iii) failure or defect in any communication facilities, hardware or software, and/or (iv) theft and destruction or unauthorized access to, alteration of, or use of information, whether resulting in whole or in part from negligence or otherwise. The use of this web site is at your own risk.

ELECTRONIC MAIL COMMUNICATION

Please note that all electronic mail ("e-mail") communication to and from Ascendiant is subject to review and archival by the compliance administrators, principals, and government regulatory agencies of Ascendiant Capital Markets LLC.  E-mail transmission cannot be guaranteed to be secure or error-free.

SEC Rule 605 Report

2016: Ascendiant Capital Markets, LLC Rule 605 Report

Prior to 2016: Ascendiant Capital Markets, LLC Rule 605 Report

SEC Rule 606 Report

2016: Ascendiant Capital Markets, LLC Rule 606 Report

Prior to 2016: Ascendiant Capital Markets, LLC Rule 606 Report

COPYRIGHTS AND TRADEMARKS

This web site contains proprietary content which is the property of Ascendiant. Except as maybe expressly authorized, no information or material contained on this site may be reproduced, transmitted, displayed or commercially exploited without written consent. "Ascendiant" is a registered trademark and service mark.


PRIVACY POLICY

For the Privacy Policy of Ascendiant Capital Markets LLC, please click here.


BUSINESS CONTINUITY PLAN

For the Business Continuity Plan of Ascendiant Capital Markets LLC, please click here.

 

 

 

 

 

 

 

 

 

 

 

               © 2001-2017 Ascendiant Capital Markets LLC - Member FINRA & SIPC   
                                Important Legal Information & Disclosures