WHAT IS OUR COMMITMENT TO YOU?
WHAT TYPES OF NON-PUBLIC PERSONAL INFORMATION DO WE COLLECT ABOUT YOU?
In the course of providing service to you, e collect non-public personal information about you from the following sources:
Application information such as assets, income, debt which is provided to us on the application form.
Transactional information such as your account balance, payment history, parties to transactions, and types and amounts of investments.
Information obtained when verifying the information, you provide on applications or other forms (this may be obtained from other institutions where you conduct financial transactions). Information we receive from consumer reporting agencies, for example, your credit worthiness and credit history.
DO WE DISCLOSE INFORMATION TO ANY NON-AFFILIATED THIRD PARTIES YOUR NON-PUBLIC PERSONAL INFORMATION?
The Opes Group LLC and Opes Bespoke Securities LLC will not disclose consumer information, account numbers, access information, deposit or transaction accounts to any nonaffiliated third party for use in telemarketing, direct mail or other marketing purposes. The Opes Group LLC and Opes Bespoke Securities LLC limits the sharing of nonpublic personal information about you with financial or non-financial companies or other entities, including companies affiliated with The Opes Group LLC and Opes Bespoke Securities LLC and other, nonaffiliated third parties, to the following exceptions:
We may share information when it is necessary and required to process a transaction or to service a customer relationship. For example, information may be shared with a company that provides account record keeping services.
We may share information when it is required or permitted by law. For example, information may be shared to protect you against fraud or with someone who has a legal or beneficial interest, such as your power of attorney, or in response to a subpoena.
For example, we may share information about you with the financial intermediary (bank, investment advisor, or our clearing firm) through whom you purchased products or services, or with providers of, legal, accounting or other professional services.
For more information about Securities Investor Protection Act (SIPC), including SIPC brochure, you may contact SIPC at www.sipc.org or 202.371.8300.
Should you like information regarding Regulation Public Disclosure, or a copy of the Public Disclosure Program Investor Brochure contact FINRA at 800.289.9999 or via their web site at www.finra.org.
Other Important Disclosures:
Services and products described may not be eligible for solicitation in your state. This site is for use by investors residing in states where our products and services may legally be offered. The information on this site is not intended to be used as the primary basis for investment decisions.
This site has been published in the United States for residents of the United States. We do reserve the right to require proof of residence from any user accessing this site and requesting information. It is not intended for use by, or to provide any information to investors outside of the United States. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site.
BUSINESS CONTINUITY PLAN DISCLOSURE STATEMENT
The Opes Group, LLC and Opes Bespoke Securities, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are 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.
If after a significant business disruption, you cannot contact your representative as you usually do at their office, you should call our firm’s home office at (646) 701-7036 or go to our website at www.opesgroupllc.com. During a significant business disruption, we may be contacted directly to process limited transaction-related services. For additional information about how to request urgent services when we cannot be contacted due to a significant business interruption, please call (646) 701-7036 for recorded instructions. In cases where you cannot contact your representative and your accounts are held directly with a product sponsor, please utilize the sponsor company’s contact information located on your account statement.
OUR BUSINESS CONTINUITY PLAN
We plan to respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. 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 and addresses the following: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
The Opes Group LLC and Opes Bespoke Securities LLC implements redundancies by maintaining multiple backup files in different geographical locations as part of our business continuity program. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, our objective is to restore our operations and be able to complete existing transactions and accept new transactions and payments within the same business day. Your transactions and requests for funds and securities could be delayed during this period.
Significant business disruptions can vary in their scope, such as those involving only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area and recover and resume business within 48 hours. In either situation, we plan to continue in business, transfer operations to an alternative location if necessary, and notify you through our website www.opesgroupllc.com or our customer emergency number, (646) 701-7036, as to how to contact us. Please be aware that we cannot guarantee that we will be successful in achieving recovery in the times noted above. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
FOR MORE INFORMATION
If you have questions about our business continuity planning, you can contact us at (646) 701-7036.
INVESTOR EDUCATION AND INFORMATION
FINRA BrokerCheck is a resource tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. Features of FINRA BrokerCheck include; search capabilities for both brokers and broker-dealers, online reports on brokers and broker-dealers, information to help investors better understand the content, context and source of the information provided and links to additional resources and tools. The information made available through FINRA BrokerCheck is derived from the Central Registration Depository (CRD®), the securities industry online registration and licensing database, as reported on industry registration/licensing forms brokers, brokerage firms and regulators complete. More detailed information regarding FINRA BrokerCheck is contained in an investor brochure which is available via the FINRA website. Please refer to the FINRA’s website (www.finra.org) and/or FINRA BrokerCheck (www.finra.org/brokercheck) or Hotline Number (800) 289-9999 for more information about FINRA and its member organizations.
The Opes Group / Opes Bespoke Securities
One Grand Central Place
60 East 42nd Street, Suite 2540
New York, NY 10165
(646) 701-7036 | www.opesgroupllc.com