Notices

Disclaimer for Chatsworth Securities LLC, Member FINRA, SIPC

This site is designed for informational purposes only and does not constitute a solicitation or offer by Chatsworth Securities LLC (“Chatsworth”) 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 and/or its employees and/or its registered representatives and/or members of their families may have positions or warrants in the securities of our clients or their competitors 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, has been retained to perform investment banking services for wide range of clients, and has received remuneration for these services in the form of fees and warrants. Chatsworth acts as placement agent for its clients and receives remuneration for these services in the form of fees and warrants.

Privacy Policy

Chatsworth 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, information we may receive from a consumer reporting agency or information resulting from due diligence.

If you decide to terminate your relationship with Chatsworth or become an inactive client, we will adhere to the privacy policies and practices as described in this notice.

Chatsworth restricts access to your personal and business information to those employees who need to know that information to provide products or services to you. Chatsworth maintains physical, electronic, and procedural safeguards 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.

If you have any questions or concerns, please contact us via email.

Business Continuity Disclosure Statement

Chatsworth 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.

Many of our clients receive capital from third parties and therefore the entities that provide capital to our clients are responsible for those records maintained on your behalf. Additionally, when third parties close on a transaction with our assistance, they have paper or electronic copies of the documents that been executed, which means that these third parties have access to essentially the same records as the Chatsworth.  This means if our clients can’t contact Chatsworth during an emergency situation they may have access to essential records through these third parties. 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 firm’s 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 at dpedrosa@chatsworthgroup.com, or call (203) 629-2612.

Important Information About Procedures for Establishing A Relationship With Chatsworth

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 establishes a relationship with Chatsworth. What this means for you: When you establish a relationship with Chatsworth, 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 driver’s license or other identifying documents.

Firm Email Disclaimers

Chatsworth is a financial services headquartered in Greenwich, CT. Chatsworth provides investment banking and related financial services to professional investors, professional money managers and businesses.

All electronic messages sent and received by Chatsworth associates are subject to review by Chatsworth, its accountants and regulatory agencies or through firms conducting anti-money laundering audits. Chatsworth may retain and reproduce electronic messages for national, state, federal, or other regulatory agencies as required by applicable law.

Any content in the firm’s emails that could be construed as market commentary or sales literature is commentary and/or strategic ideas provided to Chatsworth clients, based upon information available to the general public. Our emails may contain links to or information from third parties. Chatsworth shall not be held responsible for the content or accuracy of any third-party link or information, nor will it be held responsible for any loss or damage caused by you placing reliability on this third-party information. Although the information contained herein has been prepared from sources believed to be reliable, it is not guaranteed by Chatsworth, and is not a complete summary or statement of all available data, nor is it considered an offer to buy or sell any securities referred to herein. Past performance is not indicative of future returns.

Any opinions or recommendations expressed herein are solely those of the author or analyst and are subject to change without notice. Unless otherwise specifically indicated, the content of this communication is for informational purposes only and should not be regarded as an offer to sell or a solicitation of an offer to buy any securities, futures, options, loans, investment products, or other financial products or services, an official confirmation of any transaction, or an official statement of Chatsworth or any of its affiliates. Chatsworth is not an advisor as to legal or taxation matters in any jurisdiction, and this email is not providing any such advice to the recipient.

Confidentiality Notice

This email message is private, confidential property of the sender, and the materials may be privileged communications. This email is intended solely for the receipt, use, benefit, and information of the intended recipient indicated above, and it may not be reproduced, retransmitted, circulated, or exploited without the express written consent of Chatsworth. If you are not the intended recipient, you are hereby notified that any review, disclosure, distribution, copying, or taking of any other action in reference to the contents of this message is strictly prohibited and may result in legal liability on your part. Confidentiality is not waived by mistaken transmission. If you have received this message in error, please notify the sender immediately and delete this message from your system. Internet communications are not secure, and therefore, Chatsworth and its affiliates do not accept legal responsibility for the contents of this message. We believe that this email and any attachments are free of any virus or other defect that might affect any computer system in which it is received or opened; however, it is the responsibility of the recipient to ensure that this email and any of its attachments are virus-free, and the sender accepts no responsibility for any loss or damage. Outgoing and incoming emails and their attachments may be monitored to ensure compliance with law, regulations, or internal policies.

This communication is not intended for distribution to, or use by, any person or entity in any location where such distribution or use would be contrary to law or regulation, or which would subject Chatsworth or any affiliate to any registration requirement within such location. Each user of the information in this email from any location does so on his or her own initiative and at his or her own risk and is responsible for compliance with all applicable local laws.

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 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.