Customer Identification Program
Business Continuity Plan
Ducera has established a plan to manage the effects of a significant emergency disruption of our business operations. For more information about our business continuity planning, please visit: Ducera Securities LLC – Business Continuity Plan.
Anti-Money Laundering Policy
In accordance with FINRA Rule 3310, and in an effort to comply with the applicable requirements under the USA PATRIOT Act and the Bank Secrecy Act, Ducera Securities LLC has established policies and procedures for the purpose of attempting to deter and detect money laundering activities by customers. For more information about our Anti-Money Laundering policy, please visit: Ducera Securities LLC – Anti-Money Laundering Policy