Notices

Chatsworth Securities LLC is a registered broker-dealer and FINRA member firm (Finra.org), which provides investment banking, underwriting, private placement, merger, acquisition and divestiture services.

Disclaimer

This site is designed for informational purposes only and does not constitute a solicitation or offer by Chatsworth Securities LLC to buy or sell any securities or to provide any investment advice or service. This site shall not constitute an offer to sell or the solicitation of any offer to buy securities in any state in which such offer, solicitation or sale would be unlawful under the securities laws of such state.

Chatsworth Securities LLC and/or its employees and/or its individual shareholders and/or members of their families may have positions or warrants in the securities mentioned and may make or recommend purchases and/or sales for their own accounts or for the accounts of other customers of the firm from time to time in the open market or otherwise. Chatsworth Securities LLC, has been retained to perform investment banking services for securities mentioned herein, and has received remuneration for these services in the form of fees and warrants. Chatsworth Securities LLC has acted as placement agent for securities mentioned herein, and received remuneration for these services in the form of fees and warrants. Additionally, Chatsworth Securities LLC may attempt to raise capital for securities mentioned herein in the future and may receive remuneration for these services in the form of fees and warrants.

Affiliates

All “Affiliates” listed on this website, with the exception of Chatsworth-Bedrok Real Estate Advisors, LLC, are independent firms that Chatsworth Securities LLC relies on, from time to time, to provide additional breadth and depth to our knowledge base in the specific areas of their focus. Nothing contained herein should be construed as Chatsworth Securities LLC having any ownership interest in, revenue sharing or expense sharing arrangement with such parties and such parties do not have such relationships with Chatsworth Securities LLC. Chatsworth Securities LLC does have a revenue sharing agreement with Chatsworth- Bedrok Real Estate Advisors, LLC and provides office space to the firm.

Privacy Policy

Chatsworth Securities LLC
Member FINRA, SIPC and registered with MSRB

Chatsworth Securities LLC collects nonpublic personal information about you from the following sources:

Information we receive from you on applications or other forms,information about your transactions with us or others; and information we may receive from a consumer reporting agency.

If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.

Chatsworth Securities LLC restricts access to your personal and account information to those employees who need to know that information to provide products or services to you. Chatsworth Securities LLC maintains physical, electronic, and procedural safegurards to guard your nonpublic personal information.

We do not disclose any nonpublic personal information about you to anyone, except as permitted by law.

This policy will remain in effect until further notice.

For your reference, this policy has been posted to our Web site at Chatsworthgroup.com. If you have any questions or concerns, please contact us via email.

Business Continuity Disclosure Statement

Chatsworth 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 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.

Contacting Us:  If after a significant business disruption you cannot contact us as you usually do at  203-629-2612, or at dpedrosa@chatsworthgroup.com, you should call our alternate number,  (914)-414-5135, or go to our website at www.chatsworthgroup.com.

Our Business Continuity Plan: We plan to quickly recover and resume business operations after a significant business disruption and 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. 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. Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators.

Our clients invest directly in third parties and therefore the entities that our clients have invested in are responsible for those records maintained on your behalf. Additionally, when our clients close on a transaction with our assistance, our clients have paper or electronic copies of the documents that been executed, which means that our clients have access to essentially the same records as the Chatsworth.  This means if our clients can’t contact Chatsworth during a an emergency situation they will have essential records anyway. Finally, while most transactions done through us are not time sensitive, every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption. In any event, essential computers at Chatsworth are backed up at a remote location and all emails are saved for a six year period.

Varying Disruptions;  Significant business disruptions can vary in their scope, such as 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 in a relatively brief period of time. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and hope to recover and resume business within two days. In either situation, we plan to continue in business and notify you through our web site regarding the firms recovery.  In any event, assuming cell phone service is available, you can contact our personnel, or our personnel will contact you.

For more information If you have questions about our business continuity planning, you can contact us atdpedrosa@chatsworthgroup.com, or call (914) 414-5135.

Important Information About Procedures for Opening a New Account

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 open an account, we will ask for your name, address, date of birth, tax identification number and other information that will allow us to identify you. We may also ask to see your drivers license or other identifying documents.

Use of Links

This website may contain links to and be linked from third-party websites. These links are provided only as a convenience. The inclusion of any link is not and does not imply a sponsorship, endorsement, approval, investigation, verification or monitoring by Chatsworth Securities LLC of any information contained in any third-party website. In no event shall we be responsible for the information contained on that site or your use of or inability to use such site.